GLOBAL COMPLIANCE The mandate of Global Compliance is to prevent, detect, and mitigate compliance, regulatory, and reputational risk across the firm and help to strengthen the firm’s culture of compliance. Compliance accomplishes this mandate through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defence, 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. Compliance provides advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations, and regulatory expectations around the globe. Importantly, Compliance plays a key role in reviewing and effectively challenging transactions presenting compliance or reputational risks.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. Marketing Materials Compliance (“MMC”) within Securities Division Compliance reviews trade ideas, detailed market analysis, summaries of Investment Research, educational materials, and other written materials regarding financial products (e.g., equities, fixed income, currencies, commodities). MMC works closely with other departments, such as wider Divisional Compliance, ECommunications Compliance, Information Technology, Legal, and Internal Audit. MMC performs compliance oversight within a fast-paced environment where teamwork and collaboration are highly valued. Our focus is on practical implementation of laws/regulations.
OPERATIONS Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow. YOUR IMPACT This is a challenging role in a global, real-time environment with exposure to a wide range of financial products. It is focused on teamwork, exception management, continuous improvement and proactive control.The team is seeking a professional who can collaborate effectively across functional groups in the active mitigation of operational risk. OUR IMPACT The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. Founded in 1869, Goldman Sachs has long sustained a commitment to hiring and training outstanding leaders. Our business principles are rooted in integrity, a commitment to excellence, innovation and teamwork. These values enable us to execute successfully a business strategy that is focused on extraordinary client service and superior long-term financial performance for our shareholders. We conduct our business in increasingly complex markets. Our people must continually find new ways to provide access to capital, manage risk and provide investment opportunities for our clients to enable them to realize their goals. We judge ourselves on our ability to help clients anticipate and respond to changing market conditions and to create opportunities that merit the trust they place in us. BUSINESS UNIT OVERVIEW The Bangalore Listed Derivatives Middle Office (LDMO) provides operational support to a wide variety of internal and external clients who execute on approximately 12 EMEA and 6 Asia Derivatives Exchanges. Daily interaction with: (external) EMEA & Asia Exchanges, Clearing Houses, Third Party Brokers and GS Clients, (internal) Compliance, Legal, Credit & Risk, Network Management, Equity Operations, FI Operations, J Aron Operations, other areas of Listed Derivatives Operations, in excess of 20 different Sales and Trading desks (Globally) and both Futures & GSS Clients. LDMO monitor all EMEA & Asia Listed Derivatives business (Clearing and Position maintenance) on behalf of Goldman Sachs.