Corporate Advisory Compliance, Vice President, Sydney Corporate Advisory Compliance, Vice President,  …

Goldman Sachs
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Goldman Sachs
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Corporate Advisory Compliance, Vice President, Sydney

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.

The Corporate Advisory Division (known globally as the Investment Banking Division (IBD)) includes industry groups and product groups that focus on equity and debt financing, M&A, financial sponsor transactions and/or derivatives solutions. This position will be based in Sydney, Australia as an integral part of the IBD Compliance team.

The candidate will also work as part of the broader Asia Pacific IBD Compliance team that is responsible for addressing a diverse array of regulatory, reputational and business issues encountered by IBD. In addition, the candidate will regularly interact with other compliance teams and other Goldman Sachs departments, including but not limited to Legal and Internal Audit, Conflicts and Business Selection, Finance, Human Capital Management and Operations.

  • Providing advice for IBD on compliance, regulatory, legislative, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.
  • Assessing and determining how to mitigate risk to the firm by analyzing the transactional processes used in IBD, as well as the activities and actions of individual bankers.
  • Maintaining policies and procedures. Ensuring that appropriate policies and procedures are in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
  • Working closely with Legal and the business to fulfill requirements.
  • Controls testing and monitoring. Create controls, design and conduct surveillance and/or forensic reviews to assess the effectiveness of controls and ensure adherence to laws, regulations and firm policies and procedures of IBD activities.
  • Designing, executing and delivering live and online training on divisional policies and procedures.
  • Assisting with regulatory matters. Analysing and implementing any relevant regulatory updates that impact IBD. Assisting investment bankers and Legal in responding to regulatory inquiries, investigations and inspections .

  • Bachelor's degree with an MBA, Qualified Lawyer or other similar advanced degree or qualification preferred.
  • 5+ years related work experience, preferably in a compliance or legal role at an investment bank, securities company or a law firm.
  • Experience in working with regulators a plus.
  • A high level of English is required.
  • Ability to communicate confidently and effectively with a diverse audience, including with senior firm personnel and regulators.
  • Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with investment bankers.
  • Quick learner who can adapt well to a fluid regulatory and business environment.
  • Organized, detail-oriented, enthusiastic and professional.
  • Ability to handle multiple tasks simultaneously and work under pressure.
  • Ability to work independently, but still be a strong team player.

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 .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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