The Core Compliance, Engineering and Insider Threat, Vice President, Dallas

The Core Compliance, Engineering and Insider Threat, Vice President, Dallas location_on Dallas, TX, United States

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. 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.

BUSINESS UNIT AND ROLE OVERVIEW

The CoreCompliance provides compliance coverage to the Executive Office and The Core divisions, which include Operations, Engineering, Controllers, Corporate Planning & Management, Corporate Treasury, Corporate and Workplace Solutions, 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 Core divisions
• 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 initiative

RESPONSIBILITIES AND QUALIFICATIONS

ROLE AND RESPONSIBILITIES

As part of the Americas Core Compliance team, you will provide compliance support and coverage for the firm’sEngineering division ,with a particular focus on governance and controls related to Conduct and Insider Threat risks. In this role, you will have the opportunity to collaborate with various teams and divisions on enhancing the Engineering division’s Conduct Risk model and coordinating the firmwide approach on addressing insider threats. 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:

Advise on the governance of the firmwide Insider Threat Program, aligning with industry standards and regulatory expectations

• Broadly advise, challenge, and influence the Engineering Division on governance and risk matters, with a focus on Technology Risk

Assist and challenge the Engineering business units on the ongoing development of Engineering-owned conduct risk models

Partner with the Engineering division and control-side groups to investigate potential insider threat activities and conduct breaches. Analyze, evaluate, and report risk/incident themes

Perform routine regulatory horizon scanning for applicable Laws, Rules, or Regulations; advise the business to drive required implementation efforts to achieve compliance

Develop and deliver communications and training to the Engineering Division and other functions in The Core

As needed, support development and analysis of Engineering or Compliance-related policies, standards and processes to ensure compliance with applicable regulations and requirements

Recommend Compliance testing, strategize and conduct Compliance forensics

Brief senior leadership on risks identified and ensure stakeholder investment

• Coordinate with the broader The Core Compliance team on specific initiatives and projects

QUALIFICATIONS AND SKILLS

A strong candidate for The Core Compliance team will satisfy the following criteria:

• At least 6-8+ years of work experience, experience as a Compliance officer or in a risk management role
• Bachelor’s degree or higher, graduate degree in information security/risk management a plus, but not required
• Good understanding of Compliance and (other risks) associated with engineering and technology functions
• Experience reading and interpreting jurisdictional regulations, laws and statutes
• Experience conducting business-facing trainings
• Experience managing conduct investigations related to breaches in firm policy or ethical standards
• Understanding of the global regulatory environment related to insider threat , fraud, technology , cyber security , information security , data governance , and artificial intelligence
• Experience in insider threat, technology or conduct incident reporting, including regulatory reporting, is a plus
• Experience interacting with regulators, or supporting regulatory audits or inquiries
• Intellectual interest in new and emerging technologies, opportunities and risks, including artificial intelligence

A strong candidate for The Core Compliance will possess the following skills:

• Clear, concise written and verbal 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
• Strong project management skills; 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 judgment
• Take ownership of tasks, progress them independently, and elevate 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:

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.

BENEFITS AT GOLDMAN SACHS

• Healthcare & Medical Insurance
• We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
• We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
• Financial Wellness & Retirement
• We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.
• Health Services
• We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the- art on-site health centers in certain offices.
• Fitness
• To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
• Child Care & Family Care
• We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
• Benefits at Goldman Sachs
• Read more about the full suite of class-leading benefits our firm has to offer.