• Compliance, Compliance Testing Group, Data Control, Analyst/Associate

    Location(s) US-NY-New York
    Job ID
    Schedule Type
    Full Time
    Business Unit
    Compliance Testing Grp
    Employment Type


    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. 



    Job Summary & Responsibilities


    The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities, and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments, and high-net-worth individuals.  Founded in 1869, the firm is headquartered in New York and maintains offices in major financial centers around the world. 


    This is an exciting opportunity to join the firm’s Compliance Testing Group in a role conducting reviews of information technology control design to identify potential business, compliance, regulatory, and reputational risks, and forensic reviews to check the completeness and accuracy of data.  This individual should be comfortable having daily interactions with senior members of the businesses and other Federation Divisions, including, among others, technologists. 


    The Compliance Testing Group has a global reach.  It is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, investigators, compliance professionals, lawyers, and product controllers), located in New York, London, Hong Kong, Tokyo, Salt Lake City, Singapore, Bengaluru, and Warsaw.  The individual will work closely with global teams across Compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates. 



    • Propose and implement methods of testing the completeness and accuracy of the data that feeds the surveillance systems used to monitor trading activity
    • Design, implement and execute software code discussed and agreed with a team leader to validate the complete and accurate transfer of data between databases
    • Gather data, perform analyses, and document results of testing plans
    • Identify potential compliance and reputational risks within the surveillance framework and effectively escalate to appropriate individuals
    • Multi-task – have the ability to work on several different reviews with different individuals at the same time
    • Leverage strong communication skills to interact with Technology, Compliance, and business senior management
    • Meet tight deadlines 

    Basic Qualifications

    • Bachelor’s Degree in Computer Science or Information Technology
    • Minimum 2 years of experience in reading and writing code in Python and Java
    • Experience working with relational databases (e.g. Sybase, Oracle) and NoSQL databases (e.g. MongoDB, ElasticSearch)
    • Working knowledge of Unix/Linux, Microsoft Word, and Excel including the ability to write Unix shell scripts
    • Experience working with Hadoop, Hive, Hbase, Spark, Scala, or other advanced Big Data frameworks
    • Fluency in English
    • Communicate complex issues in a clear and concise manner, both written and orally
    • Integrity, motivation, intellectual curiosity, and enthusiasm

    Preferred Qualifications and Experience

    • Compliance, auditing, or testing experience
    • Experience in the financial services industry, either working for an investment manager, broker dealer, Big 4 financial services advisory firm, or a national regulator
    • Knowledge of Alteryx and PowerPoint


    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

    © The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.