Compliance - CF&O Compliance - Vice President - Hyderabad

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.  

BUSINESS UNIT AND ROLE OVERVIEW

Controls, Finance, and Operating (“CF&O”) Compliance provides compliance coverage to the Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning Management, Risk, Tax and Human Capital Management divisions (“CF&O divisions”). This includes conducting risk identification, measurement and assessment, monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues, participating in firm responses to regulatory examinations, audits and inquiries, performing surveillance and investigations of business activities, testing the effectiveness of controls, writing policies and procedures, communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative.

RESPONSIBILITIES AND QUALIFICATIONS

ROLE AND RESPONSIBILITIES

As part of the India CF&O Compliance team, you will provide compliance support and coverage for the firm’s CF&O divisions. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and business unit priorities.  To fulfill this role and responsibilities, you will need to:

• Have deep understanding of compliance and regulatory rules, policies and business
• Provide guidance to internal stakeholders on appropriate interpretation and application of policies/procedures 
• Regularly review and update procedures and training documentation
• Take ownership to resolve policy exceptions and suggest potential corrective actions
• Review and provide feedback on reports relating to compliance metrics
• Take ownership of processes and controls within the team, drive the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
• Timely escalate situations to relevant stakeholders
• Develop and maintain relationships to enable frequent interaction with other areas of the firm and professionals across the globe

QUALIFICATIONS AND SKILLS

A strong candidate for Controls, Finance, and Operating Compliance will satisfy some or all of the following criteria:

• 7-8 years of relevant work experience obtained in compliance, risk management, audit or control function
• Bachelor’s degree or higher. Professional degree in a related area (law, finance, risk, information security) is a plus
• Experience in reading and interpreting regulations, laws and statutes
• Knowledge of regulations, practices and markets infrastructure
• Experience supporting regulatory audits or inquiries
• Understanding of the global regulatory environment is a plus
• Knowledge of BI tools like Alteryx and Tableau is a plus 

A strong candidate for CF&O Compliance will possess the following skills:

• Clear, concise communications skills; must be able to comprehend what is said/written and ask probing questions. Must be able to communicate with impact at senior levels
• Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
• Work independently. Exercise sound judgment, ethics and integrity
• Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
• Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
• Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks

Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders
 

ABOUT GOLDMAN SACHS
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