Compliance - PWM Compliance - Associate - Bengaluru / Bangalore - Goldman Sachs

    Goldman Sachs
    Goldman Sachs Bengaluru / Bangalore

    10 hours ago

    Full time
    Description

    PWM Compliance takes an active role in assisting the PWM Management to supervise the PWM Business and provides on-going advice on various topics. The PWM Compliance team in Bengaluru is a part of the Global team which helps provide Compliance advice and support to the PWM business in Asia and EMEA covering a broad spectrum of responsibilities, including Surveillance, Programmatic Reviews, review of trades for Cross Border issues, pre-trade approvals, Training, Client Guidelines and Projects where we collaborate with Business and Engineering teams.

    Principal Responsibilities:

    • Grasp Business, Compliance, Regulatory rules and Policies
    • Perform surveillance including but not limited to holdings, positions, personal account trading and restricted trading
    • Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Engineering as well as acting in partnership with Engineering
    • Provide guidance to sales on appropriate interpretation and application of policies and procedures
    • Reviewing trades to ensure that they are in line with the regulations and policies and help approve them in a timely manner
    • Collaborating with Legal and Business to review Client Guideline documents to ensure they can be monitored or amend the language in the contract if otherwise
    • Reviewing Cross Border rules before the prospectus for Private Equity products are sent to clients
    • Performing Programmatic reviews to investigate if we have appropriate controls in place and studying patterns to identify anomalies
    • Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
    • Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation
    • Taking ownership of processes and controls of the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
    • Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
    • Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation
    • Communicate regularly with stakeholders and senior management on outstanding surveillance issues, findings and status of other assigned compliance projects

    Basic Qualifications:

    • Previous experience in Compliance, Surveillance, Internal Audit or other control function.
    • Inquisitive and proactive in identifying risks and proposing solutions
    • Good interpersonal skills and effective written/oral communication skills
    • Organized, detail-oriented, enthusiastic professional with a strong work ethic
    • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
    • Ability to handle multiple tasks simultaneously, prioritize effectively and work under high pressure environment
    • Good understanding of the fundamentals of the financial industry
    • Advanced MS Office skills preferred, including experience with large data sets and proficiency in data manipulation and presentation
    • Ability to work with a variety of senior and junior people, and build smooth working relationships.
    • Highest attention to detail.
    • Team player - one who can prioritize in a fast moving, high pressure, constantly changing environment.
    • Entrepreneurial inclination - ability to work alone and act as project manager.
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