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- Tasks: Support compliance for Engineering and Technology Risk teams, tackling regulatory inquiries and risks.
- Company: Goldman Sachs is a leading global investment banking and securities firm, committed to diversity and inclusion.
- Benefits: Enjoy professional growth opportunities, wellness programs, and a supportive work culture.
- Why this job: Join a dynamic team influencing compliance in cutting-edge technology and AI sectors.
- Qualifications: 6-8 years in compliance or risk management; strong analytical and communication skills required.
- Other info: Full-time role based in Birmingham with a focus on technology-related regulations.
The predicted salary is between 42000 - 84000 £ per year.
Compliance, CF&O Compliance, EMEA – Engineering, Technology Risk and GCDI Coverage, Vice President, Birmingham
Join to apply for the Compliance, CF&O Compliance, EMEA – Engineering, Technology Risk and GCDI Coverage, Vice President, Birmingham role at Goldman Sachs
Compliance, CF&O Compliance, EMEA – Engineering, Technology Risk and GCDI Coverage, Vice President, Birmingham
Join to apply for the Compliance, CF&O Compliance, EMEA – Engineering, Technology Risk and GCDI Coverage, Vice President, Birmingham role at Goldman Sachs
GLOBAL COMPLIANCE AT GOLDMAN SACHS
At Goldman Sachs, 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 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. 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.
Job Description
GLOBAL COMPLIANCE AT GOLDMAN SACHS
At Goldman Sachs, 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 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. 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.
Business Unit And Role Overview
CF&O Compliance provides compliance coverage to the Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Finance, Office of the CAO, Finance Planning and Analysis, Risk, Tax and Human Capital Management divisions. This includes:
- Conducting risk identification, measurement and assessment
- Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
- Participating in firm responses to regulatory examinations, audits and inquiries
- Performing surveillance and investigations of business activities of the above referenced groups
- Testing the effectiveness of controls
- Writing policies and procedures
- Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives
Responsibilities And Qualifications
ROLE AND RESPONSIBILITIES
Responsibilities
As part of the EMEA CF&O Compliance team, you will provide compliance support and coverage for the firm’s Engineering division, Technology Risk and Global Cyber Defense and Intelligence teams. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. To fulfill this role and responsibilities, you will need to:
- Help co-ordinate and participate in the delivery of the firm’s response to regulatory inquiries including, but not limited to, artificial intelligence, information security and cyber threats, and third-party risk management.
- Understand and advise on existing and emerging regulatory requirements in relation to the key risk areas.
- Actively participate in key steering groups and control forums related to AI to ensure governance processes are integrated into the broader Compliance framework
- Assist in the ongoing development of the firm’s governance, risk and control framework as it pertains to the key above key thematic and risk focus areas.
- Advise, challenge, and influence the Engineering Division, Tech Risk, Global Cyber Defense and Intelligence and other business divisions on regulations, policies, and reputational risk
- Brief senior leadership on risks identified and ensure stakeholder engagement
- Analyze and conduct ongoing reviews of technology regulations, trends and enforcement actions to assess impact to the firm, and identify potential gaps
- Partner with the impacted groups to ensure the business can support new requirements
- Identify, investigate and manage compliance issues and escalations involving the Engineering Division, Technology Risk and GDCI
- Coordinate with counterparts in other jurisdictions to ensure the firm is meeting technology related regulatory requirements globally
- As needed, support development and analysis of technology-related policies, standards and processes to ensure compliance with applicable regulations and requirements
- Recommend compliance testing or forensic work to be performed
- Develop and deliver communications and training to the Engineering Division and other teams
- Coordinate with the broader CF&O Compliance team on specific initiatives and projects
Qualifications And Skills
A strong candidate for CF&O Compliance will satisfy the following criteria:
- At least 6-8+ years of work experience as a compliance officer or in a risk management role preferably focused on operational risk or information security risk management
- Bachelor’s degree or higher
- Good understanding of the risks associated with technological functions
- Experience reading and interpreting regulations, laws and statutes
- Understanding of the global regulatory environment as it relates to technology, cyber security, information security, data governance and artificial intelligence
- Experience interacting with regulators, or supporting regulatory audits or inquiries
- Experience in cyber regulatory requirements and technology incident reporting is a plus
- Intellectual interest in new and emerging technologies, opportunities and risks, including artificial intelligence
A strong candidate for CF&O Compliance will possess the following skills:
- Clear, concise communications skills; able to communicate with impact at senior levels
- Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
- Work independently. Exercise sound judgment, ethics and integrity
- Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
- Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
- Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgement
- Take ownership of tasks, progress them independently, and escalate to senior stakeholders when required
- Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
- Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders
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 GS.com/careers.
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., 2023. All rights reserved.
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.
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Compliance, Control Functions & Technology Risk, Vice President, Birmingham employer: Goldman Sachs
Contact Detail:
Goldman Sachs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Functions & Technology Risk, Vice President, Birmingham
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks relevant to technology risk and cyber security. This knowledge will not only help you in interviews but also demonstrate your proactive approach to understanding the role.
✨Tip Number 2
Network with professionals already working in compliance or technology risk roles, especially within financial institutions. Engaging in conversations can provide insights into the company culture at Goldman Sachs and may even lead to referrals.
✨Tip Number 3
Stay updated on current trends in artificial intelligence and its regulatory implications. Being able to discuss these topics intelligently during your interactions will set you apart as a candidate who is not only knowledgeable but also forward-thinking.
✨Tip Number 4
Prepare to articulate how your previous experiences align with the responsibilities outlined in the job description. Think of specific examples where you've successfully managed compliance issues or navigated regulatory challenges, as this will showcase your suitability for the role.
We think you need these skills to ace Compliance, Control Functions & Technology Risk, Vice President, Birmingham
Some tips for your application 🫡
Understand the Role: Before applying, make sure you thoroughly understand the responsibilities and qualifications required for the Compliance, Control Functions & Technology Risk, Vice President role. Tailor your application to highlight relevant experience and skills that align with the job description.
Highlight Relevant Experience: In your CV and cover letter, emphasise your experience in compliance, risk management, and technology-related roles. Use specific examples to demonstrate how your background aligns with the requirements outlined by Goldman Sachs.
Craft a Strong Cover Letter: Your cover letter should not only express your interest in the position but also explain why you are a great fit for the role. Discuss your understanding of compliance issues, particularly in technology and cyber security, and how you can contribute to Goldman Sachs' goals.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Goldman Sachs
✨Understand the Regulatory Landscape
Familiarise yourself with the current regulations and compliance requirements relevant to technology risk and cyber security. Being able to discuss recent changes or trends in these areas will demonstrate your expertise and proactive approach.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've successfully identified and managed compliance risks. Highlight your analytical abilities by explaining how you assess risks and implement controls effectively.
✨Communicate Clearly and Confidently
As this role involves briefing senior leadership, practice articulating complex compliance issues in a clear and concise manner. Use examples from your past experiences to illustrate your communication skills and ability to influence stakeholders.
✨Demonstrate Team Collaboration
Emphasise your experience working within teams, especially in cross-functional settings. Discuss how you’ve collaborated with different departments to ensure compliance and how you support others in achieving shared goals.
