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J ob Summary & Responsibilities The Compliance Risk Control Group ("CRCG") is part of the Securities Division Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.
CRCG's primary function is to manage compliance and regulatory risk through the development and oversight of controls.
CRCG helps identify and prioritize the compliance and regulatory risks across the Securities Division businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include preventative front-end trading system controls and processes, surveillance reports and processes, and management information systems. Post development, CRCG maintains reviews and provides oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls.
CRCG works closely with the Business, Line Compliance and Technology as well as other groups within the Firm.
CRCG has team members globally across the US, EMEA and Asia, and as such, aims to bring a global perspective and globally co-ordinated approach as well as customized solutions to mitigate local regulatory risks.
RESPONSIBILITIES AND QUALIFICATIONS FUNCTIONAL RESPONSIBILITIES
Review and Oversight of Controls - Daily review of surveillance reports and investigation of exceptions. - Oversight of exception reviews to ensure they are being performed properly from a qualitative and timeliness perspective. - 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, surveillance's and associated procedures and training. - Apply a consistent approach across businesses, products and regions. - Develop associated functional specifications and testing scripts.
Management Information Systems - 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. - Management reporting. - Reporting of exception reviews generated by detective controls.
- 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.
- Previous experience in Compliance, Surveillance, Internal Audit or other control function an advantage. - Solid knowledge of securities markets, businesses, products. - Solid working knowledge of securities and exchange rules and regulations.
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.