• Compliance, Transaction Surveillance Group, Analyst/ Associate

    Location(s) US-NY-New York
    Job ID
    Schedule Type
    Full Time
    Business Unit
    Anti-Money Laundering Group
    Employment Type

    Financial Crime Compliance is seeking an analyst/ associate with some prior brokerage or AML experience. The role would entail the investigation and analysis of wires, journals, trading and market data to detect suspicious behavior including insider trading, market manipulation, insider abuse, and various other types of financial crime. OUR IMPACT Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. 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.


    The AML Transaction and Market Surveillance Group (TMSG) is responsible for coordinating the firmwide processes for investigating and reporting suspicious activity or transactions. This mandate discharged in several ways. For example, the Transaction and Market Surveillance Group conducts automated surveillance of transaction activity for evidence of unusual asset movements that could be probative of money laundering, terrorist financing, fraud, certain forms of market manipulation, or other improper conduct. The group also drives the design and implementation of enhance risk-based models and surveillances in this area. 


    The Analyst/ Associated in the Transaction and Market Surveillance Group is responsible for:

    • Reviewing and analyzing transactional activity, including all forms of funds transfers;
    • Reviewing and analyzing low priced or "penny" stock trades;
    • Reviewing and analyzing wires, journals and market data to detect suspicious activity as detailed above and to present findings to management
    • Acting as a data engineer ; understanding trends in underlying data and advise on modeling methodologies to detect fraudulent activity detailed above
    • Producing forensics related to surveillances and other advise on controls to monitor suspicious behaviors
    • Producing models and surveillances
    • Communicating and collaborating with attorneys, compliance and business staff
    • Applying knowledge of products, services and expected activity
    • Performing other duties and project work as assigned


    • The role requires a degree (Bachelors/ Masters) in a computational field (Statistics, Economics, Computer Science, Applied Mathematics, Engineering, or related quantitative disciplines)
    • Programming skills (Matlab, R, Python, etc.)
    • Proficiency with SQL and RDBMSs (preferably PostgreSQL or mySQL)
    • Experience with handling large data sets; familiarity with data cleansing methodologies, and data transfer processes.
    • Preferably 1-2 years working experience in an analytical or a technical role
    • Effective written and verbal communications skills
    • Willingness to adapt in a fast-paced work environment; strong sense of urgency
    • Strong work ethic
    • Client service experience (internal or external)
    • Experience working as part of a global team


    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. ? The Goldman Sachs Group, Inc., 2015. All rights reserved.