Compliance - SDC Monitoring and Surveillance (SMS) - Associate - Bengaluru

  • Competitive
  • Bangalore, Karnataka, India
  • Permanent, Full time
  • Goldman Sachs International
  • 21 Mar 19

Compliance - SDC Monitoring and Surveillance (SMS) - Associate - Bengaluru

MORE ABOUT THIS JOB
WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Bangalore, Hong Kong and other major financial centers around the world.

INTERNAL AUDIT
In Internal Audit, we ensure that Goldman Sachs maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. Our group has unique insight on the financial industry and its products and operations. We're looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm's operations and control processes.

RESPONSIBILITIES AND QUALIFICATIONS
Functional Responsibilities :

  • Review and Oversight of Controls
  • Review of surveillance exceptions with Business Personnel and Compliance Officers.
  • Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
  • Oversight of exception reviews generated by detective controls.
  • Identify enhancements to existing controls.
  • Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
  • Participate in periodic risk assessments. Development of Controls
  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
  • Apply a consistent approach across businesses, products and regions.
  • Develop associated functional specifications and testing scripts.
  • Develop and/or enhance systematic processes for escalating issues.
  • Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
  • Coordinate issues, findings and practices with colleagues across regions and/or divisions.
  • Generation of management reports / Management information Systems.
  • Reporting of exception reviews generated by detective controls.
Preferred Qualifications:
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written/oral communication skills.
  • Ability to work with a variety of senior and junior people, and build smooth working relationships.
  • Highest attention to detail.
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone and act as project manager.
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.


ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.