- Coordinate responses to regulatory inquiries, inspections and communications
- Track regulatory findings and observations and any remedial commitments to regulators
- Build and maintain regulatory relationships in Australia and New Zealand
- Monitor firm wide correspondences with Australian and New Zealand regulators
- Partner with Legal Department to give appropriate regulatory advice to other areas of the firm
- Undertake and co-ordinate various internal regulatory related projects
- Excellent team work and interpersonal skills
- Excellent organizational skills
- Ability to identify and balance commercial considerations with regulatory and legal risk
- Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics
- Attention to detail and thoroughness of execution
- Strong analytical and judgement skills
- Excellent communication skills, written and verbal
- Minimum 3 years' experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firms
- Experience in regulatory reporting will be a plus
- Private practice experience in legal and accounting firms will also considered
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Compliance, Regulatory Compliance, Associate, Sydney - Goldman Sachs
Description
GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. As an independent control function and part of the firm's second line of defense, 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. 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 judgement, curiosity, and are able to adapt to a changing regulatory landscape.
YOUR IMPACT
Are you interested in building relationships with various regulators, driving the firm's strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for an experienced professional to join our Regulatory Practice Group (RPG) who wants to use their legal and/or compliance skillset in a highly collaborative and dynamic environment.
This position is an integral member of the RPG. The RPG is, among other things, responsible for interacting with the firm's regulators in connection with inquiries, inspections and exams. Another core pillar of this role is regulatory related reporting, such as coordinating input (including Breaches and Complaints) for internal governance meetings, management and board reporting. Ancillary to this role are regulatory affairs functions such as maintaining regulatory relationships and interactions, coordinating regulatory consultation comments and drafting, tracking regulatory policy changes and updating of certain firmwide compliance policies and procedures.
HOW YOU WILL FULFILL YOUR POTENTIAL
SKILLS AND EXPERIENCE WE'RE LOOKING FOR
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
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
The Goldman Sachs Group, Inc., 2024. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
