Compliance Risk Management Professional

3 days ago

Sydney, New South Wales, Australia Goldman Sachs Full time

At Goldman Sachs, we are seeking a highly skilled Compliance Risk Management Professional to join our Global Advisory and Markets - Public Compliance team in Sydney. This is a trading floor-based compliance function providing real-time support to both the Equities and FICC business.

About the Role

This role involves driving forward strategic business initiatives and projects, with a focus on preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm. You will work closely with other departments, such as Legal, Controllers, Risk, Engineering, Operations, and Internal Audit, to ensure effective risk management.

Key Responsibilities
  • Primary coverage focused on the Equities and FICC sales and trading businesses in their day-to-day operations, new products, and market initiatives;
  • Articulate and maintain standards of conduct required by laws, regulations, and policies governing these business operations in Australia to avoid regulatory/legal liability and reputational risk;
  • Monitor changes in laws and regulations affecting the businesses and implement a compliance program to ensure compliance;
  • Formulate appropriate policies, training, testing, and monitoring and advisory coverage for the business;
  • Devise and implement strategic solutions with senior compliance management and other control-side departments;
  • Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary;
  • Conduct regular compliance training for business unit professionals and supervisors.
Requirements

To be successful in this role, you will require:

  • 1+ years of compliance, legal, audit, or other control function experience;
  • Strong analytical skills and ability to exercise judgment and manage execution under pressure;
  • Inquisitive and proactive in identifying risks and proposing solutions;
  • Good interpersonal skills and excellent written communication skills;
  • Ability to work with a variety of senior and junior people and build strong working relationships;
  • Highest attention to detail;
  • Good team player - one who is able to prioritize in a fast-moving, constantly changing environment;
  • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment;
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.
Salary

The estimated salary for this role is $120,000-$180,000 per annum, depending on experience.

About Goldman Sachs

We believe that our diverse culture and commitment to excellence set us apart. As a global investment banking, securities, and investment management firm, we strive to provide a supportive and inclusive environment where our employees can grow professionally and personally.

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