Compliance Analyst - Electronic Communications

Goldman Sachs Services Pvt Ltd; Bengaluru; On-site; INR 1,000,000 - 2,000,000; Full time

Job summary

Goldman Sachs Bengaluru Office seeks an Analyst in Global Compliance – Communication Compliance to review electronic communications for regulatory and reputational risk. You will work with Compliance, Legal, Employee Relations, and Engineering to design surveillance, report issues, and support retention and testing of surveillance tools.

Ideal candidates have 1–4 years in financial services, strong written and verbal communication, and the ability to manage multiple tasks under pressure while

Qualifications

• Bachelor's degree required.
• 1–4 years of experience in financial services preferred.
• Subject matter expertise in e-communication surveillances.
• Knowledge of financial market regulations desirable.
• Attention to detail and strong follow-up skills.
• Excellent oral and written communications.
• Strong interpersonal skills.
• Ability to manage multiple tasks under pressure.
• Comfort expressing views to senior management.
• Prior document/e-discovery review experience is a plus.

Responsibilities

• Utilize e-communications surveillance systems to review messages for content, regulatory compliance, and confidentiality risks.
• Identify, document, and resolve potential regulatory/compliance issues.
• Generate and review monthly reporting summaries on identified issues.
• Collaborate with Compliance, Legal, Employee Relations, and business management to assess risk and follow up on reviews.
• Create and test new surveillances and improve existing ones.
• Design, test, and maintain E-Communication surveillance (voice-focused).
• Coordinate with Engineering to design retention feed solutions for 3rd party apps.

Skills

Attention to detail

Excellent oral and written

Strong interpersonal skills

Excellent problem solving

Handle multiple tasks under pressure

Prior doc/e-discovery review

Professional maturity with senior mgmt

Education

Bachelor's degree

Tools

e-communication surveillance systems

Job description

Compliance-Bengaluru-Analyst-E-Communications Compliance

The Goldman Sachs Bengaluru Office Bengaluru is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centers of excellence that drive many critical businesses around the globe. The Compliance Division has established a dynamic team of professionals in Bengaluru. The Bengaluru team plays a central role in the division’s global strategy to provide solutions to the firm’s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm’s regulatory and reputational risk management program.

Global Compliance – Communication Compliance - Overview

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. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. Our business principle #2 states: “We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard.” It is the role of Goldman Sachs’ Global Compliance Division to help ensure that every employee and client of the firm upholds this principle. Accordingly, the Division is viewed as an integral part of the firm, enabling it to conduct business confidently in complex global markets. The successful candidate will be responsible for reviewing the electronic communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Principal Responsibilities:

• Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
• Identify, document, and resolve potential regulatory/compliance issues
• Partner with coverage area and generate and review monthly reporting summaries on issues identified
• Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
• Create and test new surveillances; create efficiencies with existing surveillances
• Design, testing, and maintenance of E-Communication surveillance (with particular focus on voice-based surveillances)
• Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
• Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications

Basic Qualifications:

• Bachelor's degree
• Minimum 1-4 years of experience, preferably in the financial services industry
• Subject Matter Expertise and practical experience in building out or managing e-communication surveillances
• Basic understanding about financial market regulations and Compliance is desirable
• Additional language skills preferred
• Attention to detail and strong follow-up skills
• Excellent oral and written communications skills
• Strong interpersonal skills
• Excellent problem-solving skills with the ability to exercise sound and balanced judgment
• Ability to handle multiple tasks simultaneously and work under pressure
• Prior document and/or e-discovery review experience a plus
• Ability to juggle competing priorities and stakeholder concerns
• Ability to quickly grasp complex concepts, including global business and regulatory matters
• Professional maturity and confidence in expressing a point of view with senior management

Your Career

Goldman Sachs is a meritocracy where you will be given all the tools to help you develop. At Goldman Sachs, you will have access to excellent training programmes designed to improve multiple facets of your skills portfolio. Our in-house training programme, “Goldman Sachs University” offers a comprehensive series of courses that you will have access to as your career progresses. Goldman Sachs University has an impressive catalogue of courses which span technical, business and leadership skills training.

Goldman Sachs is an Equal Employment Opportunity Employer and does not discriminate in employment based on age, race, colour, gender, national origin, disability, veteran status, or any other basis that is prohibited by applicable law.