Compliance, Business Intelligence Group, Associate Vice President, Dallas

Dallas, IA - USA

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

Description

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. Youll 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.

Business Intelligence Group Overview

The Business Intelligence Group (BIG) is an advisory group in the Legal and Compliance Division that focuses on legal regulatory and reputational risk in relation to transactions across all divisions of the firm. BIG supports certain of the firms business lines and many of the firms committees in their efforts to make fully informed commercial and reputational risk management decisions. BIG is composed of individuals with a diverse set of backgrounds including lawyers researchers accountants risk managers etc many of whom have prior regulatory government audit and/or transactional due diligence experience.

The BIG Americas team has offices in New York and Dallas and primarily covers transactions originating from North South and Central America. Both offices work collaboratively across all transaction reviews and BIG operations

This role will be hired at either the Associate or Vice President level.

Role Overview

Conduct legal regulatory and financial due diligence to assess reputational risk in a variety of transactions and business relationships
Reputational issues analyzed by BIG include FCPA/anti-bribery compliance environmental/social responsibility concerns geo-political risk financial irregularities litigation risk controversial products/services human rights issues data privacy etc.
Clients include revenue-generating departments across all divisions of the firm as well as areas within the control side
Identify and evaluate risk-relevant information from a variety of sources including but not limited to: online media proprietary databases regulatory lists public filings litigation records research reports various internet sources
Instruct and liaise with external investigative consultants evaluate reports and help drive the due diligence process to address risks identified coordinating with in-house lawyers external counsel compliance and business teams. Liaise with internal and external legal counsel on risks which merit further due diligence
Review and analyze various independent due diligence reports on topics including regulatory compliance internal controls environmental impact etc.
Analyze risk-relevant portions of financial statements and public filings
Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees
Responsible for developing relevant industry/regional expertise and anticipating potential reputational risks
Other special projects on an ad hoc basis

Skills and Experience:

5 or more years of legal/regulatory accounting compliance or other financial experience
Risk assessment skills and experience preferably involving reputational legal regulatory environmental and general compliance topics.
Strong technical proficiency experience in online research and databases preferred
Excellent analytical and communication skills (both oral and written)
General experience dealing with the investment banking industry and knowledge of various types of investing and lending transactions
Additional experience in an ESG (Environmental Social and Governance) risk-related role is a plus
Demonstrates a strong sense of intellectual curiosity and interest in current events
Team player with inherent commercial judgment
Ability to work effectively in a fast-paced and at times high pressure environment
Strong sense of discretion with respect to highly confidential information
CPA CFAJD/attorney licenseCFE designations are a plus but not required
Preferred but NOT required: additional language skills

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. Were 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

Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

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.

Required Experience:

Exec

DescriptionGlobal 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 ind...

Description

Global Compliance

Business Intelligence Group Overview

This role will be hired at either the Associate or Vice President level.

Role Overview

Conduct legal regulatory and financial due diligence to assess reputational risk in a variety of transactions and business relationships
Reputational issues analyzed by BIG include FCPA/anti-bribery compliance environmental/social responsibility concerns geo-political risk financial irregularities litigation risk controversial products/services human rights issues data privacy etc.
Clients include revenue-generating departments across all divisions of the firm as well as areas within the control side
Identify and evaluate risk-relevant information from a variety of sources including but not limited to: online media proprietary databases regulatory lists public filings litigation records research reports various internet sources
Instruct and liaise with external investigative consultants evaluate reports and help drive the due diligence process to address risks identified coordinating with in-house lawyers external counsel compliance and business teams. Liaise with internal and external legal counsel on risks which merit further due diligence
Review and analyze various independent due diligence reports on topics including regulatory compliance internal controls environmental impact etc.
Analyze risk-relevant portions of financial statements and public filings
Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees
Responsible for developing relevant industry/regional expertise and anticipating potential reputational risks
Other special projects on an ad hoc basis

Skills and Experience:

5 or more years of legal/regulatory accounting compliance or other financial experience
Risk assessment skills and experience preferably involving reputational legal regulatory environmental and general compliance topics.
Strong technical proficiency experience in online research and databases preferred
Excellent analytical and communication skills (both oral and written)
General experience dealing with the investment banking industry and knowledge of various types of investing and lending transactions
Additional experience in an ESG (Environmental Social and Governance) risk-related role is a plus
Demonstrates a strong sense of intellectual curiosity and interest in current events
Team player with inherent commercial judgment
Ability to work effectively in a fast-paced and at times high pressure environment
Strong sense of discretion with respect to highly confidential information
CPA CFAJD/attorney licenseCFE designations are a plus but not required
Preferred but NOT required: additional language skills

ABOUT GOLDMAN SACHS

Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

Required Experience:

Exec

Key Skills

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About Company

Goldman Sachs

The Goldman Sachs Group, Inc. is a leading global investment banking, securities, and asset and wealth management firm that provides a wide range of financial services.

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