Compliance, Financial Crime Investigations, Associate, Sydney

Global Compliance Division

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these 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. 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 judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Role Responsibilities

Financial Crime Compliance (FCC) has primary responsibility for the execution of the firm’s enterprise-wide Anti-Money Laundering (AML), anti-bribery, and government sanctions compliance programs and, among other things, performs enhanced due diligence and government sanctions screening, as well as surveillance and investigations designed to identify potential terrorist financing, money laundering, bribery, market abuse, or other suspicious activity.

FCC’s Australia and New Zealand (ANZ) team is seeking an experienced professional with relevant skills and experience to work in the FCC APAC Suspicious Activity Monitoring & Reporting (SAMR) team, covering Asia-Pacific, whose core responsibilities will include:

• carrying out investigations to review all escalations (including, but not limited to matters involving insider trading, market manipulation, fraud, and suspicious asset movements), which may or may not require a report to a regulator/s;
• Conducting pre-transactional review and approval of third-party payments/deposits;
• undertaking investigations under the firm's conduct and integrity program;
• supporting the country MLRO where necessary with KYC escalations, transaction reviews and other areas of the firm’s Australian AML/CTF program

Additional responsibilities may include:

• Management information reporting
• Enhancing policies and procedures;
• Training; and
• Working with internal audit when they conduct their reviews.

To achieve this, the relevant candidate will be required to:

• Utilize a variety of internal and external systems and databases in order to complete investigations;
• Liaise with all other departments, when needed and if it is appropriate, in order to ensure a thorough investigation is completed;
• Present a summary and proposed conclusion to management in a timely and clear manner, including proposals to implement appropriate steps to mitigate risk and/or monitor it
• Report suspicious activities to regulators.

Skills and Experience We are Looking For

• Clear and practical understanding of regulation relating to market abuse
• Good knowledge of anti-money laundering, anti-bribery and corruption legislation and regulation
• Good knowledge of financial markets and products preferably equities and equities derivatives. Strong understanding of the correlation between asset classes
• Previous investigations background a must
• Excellent written and oral communication skills
• Ability to adapt writing style to the requirements of the specified Goldman Sachs procedures
• Good excel skills
• Strong analytical and risk assessment skills
• Ability to adapt to new changes and new challenges
• Ability to prioritize work flows and ensure deadlines are met
• Ability to forge strong relationships with colleagues
• Ability to work independently and yet still be team-oriented
• Proactive, self-motivated, detailed oriented and well-organized

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: https://www.goldmansachs.com/careers/footer/disability-statement.html

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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.