Compliance, Regulatory Compliance, Analyst, Sydney

at  Goldman Sachs

QUALIFICATIONS

Basic Qualifications:

• 0-2 years experience in compliance, legal, regulatory, audit or operational support areas of banks or securities firms
• Tertiary educated

• Proactive, self-motivated, well-organised and hands onDetail oriented, good interpersonal skills, excellent communication skills

ABOUT OUR ROLES IN 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 defence, 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.
Are you interested in building relationships with various internal stakeholders and regulators, driving the firm’s risk awareness, and gaining exposure to cross-divisional, regional and global initiatives and regulatory discussions? We are looking for a professional to join our Regional Regulatory Affairs team who wants to use their financial services skillset in a highly collaborative and dynamic environment. A role in the Regulatory Affairs team offers an exceptional opportunity for professional development for a person interested in financial markets and in driving Compliance-related initiatives.
This Analyst level position is an integral role within the A/NZ Compliance team. Reporting to the A/NZ Head of Compliance, the position focuses on local, regional and global initiatives, and regulatory matters which impact the Goldman Sachs businesses in A/NZ. The person will work closely with divisional compliance teams in Australia and offshore, and other control groups (such as Legal, Controllers, Operations, Human Capital Management).

JOB RESPONSIBILITIES

Responsibilities include (but are not limited to):

• Co-ordinating with different internal stakeholders in preparing management reports for senior leadership, collating data for Compliance-related presentations, including to the Boards of Directors
• Working with the A/NZ Head of Compliance on the strategy for proactive engagement with regulators
• Working with the A/NZ Head of Compliance and divisional compliance officers to further standardise aspects of the compliance programme across divisions
• Assisting with the firm’s response to enquiries from and inspections by its regulators
• Assisting with the firm’s response to enquiries from its auditors
• Assisting with the firm’s response to client complaints

• Assisting with the administration and record keeping of certain internal regulatory-related working groupsAssisting the A/NZ Head of Compliance and other senior members of the Compliance team in A/NZ with administrative support