As an independent control function and part of the firm's second line of defense, the Global Compliance division: 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. Our division helps to strengthen the firm's culture of compliance in its execution of the enterprise-wide compliance risk management program. You will manage a team with members from a wide range of academic and professional backgrounds, such as legal, regulatory, consulting, accounting, securities and banking industries. We look for those who possess sound judgment, curiosity, and the ability to adapt to a changing regulatory landscape.
The Communications Compliance team within Global Compliance is responsible for the mitigation of compliance, regulatory and reputational risks associated with inappropriate electronic and voice communications. This mandate is executed through: the creation of, and governance over, surveillances and periodic reviews to detect (and in some cases prevent) certain communications conducted through firm platforms; the review and analysis of related alerts potentially indicative of inappropriate communications involving firm personnel; the identification, assessment and integration of new communications channels into the firm's communications surveillance & monitoring program; the evaluation and reporting of key patterns and trends to stakeholders to identify additional controls / surveillances; and driving the ongoing evolution of the program. The team works closely with stakeholders in the Compliance division as well as other groups across the firm such as Legal (Litigation; Employee Legal Group), Human Capital Management (Employee Relations) and Technology (Tech Risk; Information Security) divisions. Team members have the opportunity to build surveillances, review and resolve issues, manage projects, participate in firm wide initiatives, and conduct training.
RESPONSIBILITIES AND QUALIFICATIONS Principal Responsibilities:
Manage a 15-20 person team of Compliance professionals, focused on the:
Review of electronic messages and/or voice communications for content, appropriateness, regulatory compliance, and the potential misuse of confidential information (among other things)
Identification, documentation, resolution and/or escalation internally and/or to key stakeholders of certain electronic and/or voice communications that may pose potential compliance, legal, regulatory and/or reputational considerations
Development and testing of new and/or enhanced surveillances / technology platforms
Evaluation and potential onboarding of new communications channels that are identified as the firm's businesses, products and/or activities evolve
Optimize workflows and implement efficiencies; deploy proactive strategies to meet aggressive deadlines, while maintaining high standards and quality of individual and team work products
Lead the effort to evolve strategic communications surveillance platforms
Analyze and interpret patterns and trends in communications-related issues; propose potential mitigating controls or next steps
Provide periodic management reporting to various audiences, including internal stakeholders, the Board and regulators
Take a lead role in presentations to key stakeholders and senior management
Manage responses and/or requests for information from internal audit and/or regulators, as needed
Bachelor's degree required; J.D. a plus
10+years of related experience in a compliance, legal, operations or other relevant control function required; prior experience in management consulting a plus
Demonstrated leadership skills; execution-oriented mindset and proven technology acume
Excellent program/project management skills; highly refined attention to detail
Proactive problem solving skills with the ability to critically assess current practices, propose new solutions and exercise sound and balanced judgment
Excellent oral and written communications
Experience developing careers, mentoring, coaching, mobilizing and motivating teams
Strong interpersonal skills; experience working with remote stakeholders and ability to interact with and influence varying levels of seniority across the firm
Ability to handle multiple tasks simultaneously and work calmly under pressure, often balancing competing individual and team priorities
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.