Compliance, Business Intelligence Group, Vice President

at  Goldman Sachs

GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You’ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

SKILLS AND EXPERIENCE:

• 5-12 years of legal/regulatory, accounting, compliance or other financial experience
• Risk assessment skills and experience, preferably involving reputational, legal, regulatory, environmental and general compliance topics.
• Strong technical proficiency – experience in online research and databases preferred
• Excellent analytical and communication skills (both oral and written)
• General experience dealing with the investment banking industry and knowledge of various types of investing and lending transactions
• Additional experience in an ESG (Environmental, Social and Governance) risk-related role is a plus
• Demonstrates a strong sense of intellectual curiosity and interest in current events
• Team player with inherent commercial judgment
• Ability to work effectively in a fast-paced and, at times, high pressure environment
• Strong sense of discretion with respect to highly confidential information
• CPA, CFA, JD/attorney license CFE designations are a plus, but not required
• Preferred, but NOT required: Spanish language skills and/or Latin American research and due diligence experience is a plus

• Conduct legal, regulatory and financial due diligence to assess reputational risk in a variety of transactions and business relationships
• Reputational issues analyzed by BIG include FCPA/anti-bribery compliance, environmental/social responsibility concerns, geo-political risk, financial irregularities, litigation risk, controversial products/services, human rights issues, data privacy, etc.
• Clients include revenue-generating departments across all divisions of the firm, as well as areas within the control side
• Identify and evaluate risk-relevant information from a variety of sources, including but not limited to: online media, proprietary databases, regulatory lists, public filings, litigation records, research reports, various internet sources
• Instruct and liaise with external investigative consultants, evaluate reports and help drive the due diligence process to address risks identified, coordinating with in-house lawyers, external counsel, compliance and business teams. Liaise with internal and external legal counsel on risks which merit further due diligence
• Review and analyze various independent due diligence reports on topics including regulatory compliance, internal controls, environmental impact, etc.
• Analyze risk-relevant portions of financial statements and public filings
• Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees
• Responsible for developing relevant industry/regional expertise and anticipating potential reputational risks
• Other special projects on an ad hoc basis