Compliance, Financial Crime Controls Conduct

2 weeks ago

Birmingham, United Kingdom Cyber Crime Full time
Compliance, Financial Crime Controls Conduct & Integrity Associate, Birmingham Birmingham, West Midlands, England, United Kingdom

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.

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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 a wide range of academic and professional backgrounds, including law, accounting, engineering, data management, sales and trading. We look for those who possess sound judgment, curiosity, attention to detail, and adaptability.

OUR IMPACT

Financial Crime Compliance team ("FCC") is part of the firm's Global Compliance Division and is responsible for coordinating Goldman Sachs' enterprise-wide anti-money laundering, anti-bribery and government sanctions compliance efforts. FCC also has oversight for the Conduct and Integrity team, which is responsible for the firm's Compliance Conduct, Business Integrity, and Insider Threat Programs. These teams assist with mitigating the risk of misconduct across the firm through support of the Firmwide Conduct Committee and the Firmwide Insider Threat Steering Group. They develop policies and procedures to address conduct risk across the firm, administer the firm's Business Integrity Program, and conduct forensic reviews.

YOUR IMPACT

As a member of the Conduct & Integrity Operations (C&I Ops) team, you will support our efforts to maintain multiple conduct risk reporting and monitoring systems, manage recurring work flows in collaboration with Divisional Compliance and other Core Compliance teams, enable effective working relationships with other second line of defense functions, including Employee Relations, Employment Law Group, Human Capital Management Insights & Analytics team, Core Engineering, Operational Risk, as well as engage frequently with Internal Audit. This role will leverage your interest and skills in data management, data analysis, business intelligence, data visualization, and reporting of metrics related to conduct risk management. The role also supports the Firmwide Insider Threat Program and Business Integrity Program within the FCC/C&I portfolio. Primary functions include but not limited to:

  • Managing conduct risk-related data feeds, sources and archives that support and enable the firm’s conduct outcome inventory and conduct risk monitoring platform
  • Generating conduct risk metrics and associated reporting to regulators, Boards, Internal Audit, Committees and firmwide, regional and divisional management
  • Participating in cross divisional working groups
  • Regularly engaging and collaborating with Divisional Compliance conduct teams, core and functional Compliance teams, and other second and third line stakeholders on behalf of C&I Ops
  • Preparing and delivering training content and other communications

Basic Qualifications

  • Strong data analytic skills
  • Bachelor's Degree, preferably within data science, information systems, or criminal justice
  • 3 to 5 years of experience in a compliance, risk, engineering, audit or legal role
  • Strong knowledge and familiarity with Excel, Access, Word, PowerPoint
  • Alteryx Certification and experience with Tableau preferred
  • Ability to prioritize demanding workflows, while remaining detail-oriented and well-organized
  • Ability to adapt to changes and new challenges
  • Effective interpersonal skills and ability to forge constructive relationships with stakeholders
  • Self-starter, proactive and able to work independently and yet still be team-oriented
  • Excellent written and verbal communication skills (fluent in English)
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