Compliance, FCC, Asset Management - First Line Risk Divisional Representative, Vice President

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.

Financial Crime Compliance ("FCC") coordinates Goldman Sachs' enterprise-wide anti-money laundering (AML), economic sanctions and anti-bribery compliance efforts. The combined FCC team, which is composed of professionals with extensive law enforcement, regulatory, legal, compliance, forensic consulting, operations and business experience, administers an array of surveillances, due diligence, investigative expertise and other control processes designed to identify potential money laundering, terrorist financing, bribery, fraud and other violations of law.

The FCC First Line of Defense Risk team is responsible for driving enhanced accountability, governance, and financial crime risk ownership in core business activities across the First Line. Critical elements of this accountability include robust oversight and governance, effective risk management, supporting new business activities and focused client engagement with the business. Specifically, this role is focused on managing and advising on financial crime compliance risks across the Asset Management business, as well as being a critical contributor to enhancing FCC’s risk management framework.

Accordingly, the role involves several key responsibilities:

The ideal candidate possesses strong analytical and organizational skills, good written and verbal communication, as well as an ability to learn quickly, and readily understand AML concepts and issues relevant to the Asset Management division.

Experience related to AML, KYC, economic sanctions, regulatory compliance in the Asset Management and/or Investment Banking industry is preferred.

• 3 to 5 years Financial Crime Compliance experience.
• Knowledgeable of US BSA/AML, economic sanctions, anti-bribery compliance.
• Strong oral and written communication skills.
• Driven, organized, and energetic.
• Analytical; capable of identifying and distilling relevant information quickly.
• Works well under pressure, effectively prioritizes and able to multi-task.
• Works cooperatively and courteously with others.
• Strong executive presence; capable of interacting with senior leaders.
• Proficiency in Microsoft Excel (pivot tables, VLookups), PowerPoint, Word.

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