E-Communications Compliance

Goldman Sachs Bank AG; Bengaluru; On-site; INR 1,200,000 - 1,800,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Disability insurance

Life insurance

On-site health centers

On-site child care

Job summary

Goldman Sachs Bank AG in Bengaluru seeks a Compliance professional to review electronic communications for regulatory and reputational risk. The role will partner with Compliance, Legal and Engineering to implement surveillance across platforms and ensure adherence to ever-evolving standards.

The successful candidate will contribute to designing and testing retention solutions, participate in firm-wide initiatives and help uphold Goldman Sachs' commitment to ethical and lawful conduct globally.

Qualifications

• Minimum 1–4 years of experience, preferably in the financial services industry.
• Subject matter expertise in building out or managing e-communication surveillances.
• Basic understanding of financial market regulations and compliance.

Responsibilities

• Utilize e-communications surveillance systems to review messages for content, regulatory compliance and risk.
• Identify, document and resolve potential regulatory/compliance issues.
• Partner with coverage area and generate monthly reporting summaries on identified issues.
• Liaise with Compliance, Legal and Engineering teams to assess and follow up on review findings.
• Design, testing and maintenance of E-Communication surveillance with focus on voice-based surveillance.

Skills

E-communications surveillance

Regulatory knowledge

Attention to detail

Communication skills

Job description

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.

• 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:

• 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

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.

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.
• 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.
• 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.