Bulge Bracket Investment Banks
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**Compliance, Conduct & Insider Threat, Associate** - **Location:** Richardson, TX - **Job Function:** Financial Crime Controls in Compliance Division - **Role:** - Develop & execute investigations to mitigate conduct risk - Identify conduct risk areas & coordinate escalations - Master forensic techniques & communicate findings to stakeholders - **Qualifications:** - Bachelor's degree - 2-4+ years relevant work experience (financial services preferred) - Excellent writing, evidence-gathering, & organizational skills - Strong attention to detail & commitment to quality - Compliance, auditing, or legal experience a plus - **Key Tools & Technologies:** Investigative applications, forensic techniques, web-based tools, case-management systems
- Compensation
- Not specified
- City
- Richardson
- Country
- United States
Currency: Not specified
Full Job Description
Compliance, Conduct & Insider Threat, Associate, Richardson TXRichardson, TX, United States
Opportunity Overview
CORPORATE TITLEAssociate
OFFICE LOCATION(S)Richardson
JOB FUNCTIONFinancial Crime Controls
DIVISIONCompliance Division
Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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 team ("FCC")
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 oversees the Conduct and Integrity team, which is responsible for the firm's Compliance Conduct Program and Business Integrity Program and for supporting the Firmwide Insider Threat Program. Accordingly, Conduct and Integrity assists with mitigating the risk of misconduct across the firm, including through the development of policies and procedures that address conduct risk, and the management of internal investigations as appropriate.
ROLE AND RESPONSIBILITIES
The team is looking for well-rounded professionals to make an impact on the firms insider threat program by developing and executing forensic reviews that are effective, efficient, and innovative. Ideal candidates are detail-oriented investigators who can identify key signals in large data sets and present findings to stakeholders with varying degrees of seniority. The ability to write clear and accurate summaries is critical. This is an exciting opportunity for a self-motivated team player seeking experience in the conduct risk space at Goldman Sachs. Primary responsibilities include:
- Developing and executing investigations designed to mitigate conduct risk
- Identifying areas of conduct risks impacting the firm
- Coordinating escalations across a global network of stakeholders
- Mastering a range of investigative applications and forensic techniques and methodologies
- Communicating and presenting to senior stakeholders
- Maintaining written procedures and trainings to support the teams forensic program
- Challenging existing control features and proposing enhancements for continuous improvement
BASIC QUALIFICATIONS
- Bachelors degree
- 2-4+ years of relevant work experience (with financial services experience preferable)
- Ability to coordinate and resolve conduct-related escalations
- Excellent writing, evidence-gathering, and organizational skills
- Strong data/document management abilities
- Consistent attention to detail and commitment to quality
- Effective interpersonal skills and ability to forge strong relationships with colleagues
PREFERRED QUALIFICATIONS
- Compliance, auditing, testing, legal, or regulatory/law enforcement experience
- Strong academic background
- Experience with web-based investigative tools and case-management applications
- Prior employment on a global investigative team
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
We Offer Best-In-Class Benefits
Healthcare & Medical Insurance
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
Holiday & Vacation Policies
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees priorities.
Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.
Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Benefits at Goldman Sachs
Read more about the full suite of class-leading benefits our firm has to offer.
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