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Compliance - Market Surveillance - Associate - Hyderabad

  • Job
    Full-time
    Junior, Mid & Senior Level
  • Government & Politics
  • Hyderabad, +1

AI generated summary

  • You must be inquisitive, detail-oriented, and a team player with strong communication skills, analytical abilities, and knowledge of equity and futures markets.
  • You will review surveillance exceptions, ensure timely control checks, enhance system processes, conduct risk assessments, and generate management reports.

Requirements

  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written/oral communication skills.
  • Ability to work with a variety of senior and junior people and build smooth working relationships.
  • Highest attention to detail.
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone and act as project manager.
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.
  • Good understanding of Equity and Futures market.

Responsibilities

  • Review and Oversight of Controls
  • Review of surveillance exceptions with Business Personnel and Compliance Officers.
  • Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
  • Oversight of exception reviews generated by detective controls.
  • Identify enhancements to existing controls.
  • Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
  • Participate in periodic risk assessments.
  • Development of Controls
  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
  • Apply a consistent approach across businesses, products and regions.
  • Develop associated functional specifications and testing scripts.
  • Develop and/or enhance systematic processes for escalating issues.
  • Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
  • Coordinate issues, findings and practices with colleagues across regions and/or divisions.
  • Generation of management reports / Management information Systems.
  • Reporting of exception reviews generated by detective controls.

FAQs

What is the main responsibility of the Compliance - Market Surveillance Associate?

The main responsibility is to manage compliance and regulatory risk by overseeing controls, reviewing trading activity, and ensuring adherence to laws and regulations within the Securities Division.

What qualifications are preferred for this position?

Preferred qualifications include being inquisitive and proactive in identifying risks, possessing good interpersonal and communication skills, having attention to detail, strong analytical and problem-solving skills, and an understanding of Equity and Futures markets.

Where is the job located?

The job is located in Hyderabad, India.

What type of team environment can I expect?

You can expect a collaborative team environment with members from diverse academic and professional backgrounds, including law, accounting, sales, and trading.

Is prior experience in compliance required for this role?

While prior experience in compliance is beneficial, strong analytical skills, attention to detail, and a proactive approach to identifying risks can also position candidates favorably for this role.

What is the work culture like at Goldman Sachs?

Goldman Sachs promotes a culture of diversity and inclusion, focusing on providing opportunities for professional and personal growth through various training, development, and wellness programs.

Are there opportunities for career advancement in this role?

Yes, there are ample opportunities for career advancement within Goldman Sachs, as the firm is committed to supporting the professional growth of its employees.

Will this position involve collaboration with teams in other regions?

Yes, the position requires coordination and collaboration with colleagues and teams across various regions and divisions to implement compliance and risk management strategies.

What kind of training will be provided?

Employees will receive training related to compliance practices, controls, and regulatory requirements, along with ongoing professional development opportunities.

Is there flexibility in the working hours?

The position may require flexibility to accommodate different time zones due to global team collaboration, alongside the necessity to meet tight deadlines.

Finance
Industry
10,001+
Employees
1869
Founded Year

Mission & Purpose

Goldman Sachs is a global investment banking, securities, and investment management firm. They offer a range of financial services to corporations, financial institutions, governments, and individuals. Goldman Sachs' primary activities include investment banking, asset management, securities trading, and providing advisory services. Their ultimate mission is to be a leading global financial institution, providing superior financial expertise and solutions to their clients. The purpose of Goldman Sachs is to help their clients achieve their financial goals, manage risk, and navigate complex markets. They aim to drive economic growth, foster innovation, and create long-term value for their clients, shareholders, and the communities they operate in. Goldman Sachs is committed to upholding the highest standards of integrity, professionalism, and client service, serving as a trusted partner and advisor in the world of finance.

Culture & Values

  • Partnership

    We prioritize collaboration and believe in the strength of the collective, creating a culture that fosters teamwork and belonging in the pursuit of professional and personal growth.

  • Client Service

    We lead with a service mindset, working to earn our clients’ trust and exceed their expectations by understanding and overdelivering on their goals.

  • Integrity

    We hold ourselves accountable to the highest ethical standards, insisting on transparency and vigilance from our people as we learn from our experiences and make decisions that instill a sense of pride in our firm.

  • Excellence

    We aspire to nothing less than excellence, striving for exceptional performance and superior results for our clients, our shareholders, and our communities.

Benefits

  • Holiday and Vacation Policies

    We offer competitive vacation policies based on employee level and office location. This is in addition to any number of statutory and public holidays as determined by each office. 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

    The firm provides a number of resources and offerings designed to help our employees achieve their personal financial goals. 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 — from buying a home, to navigating market volatility and investments, legacy and estate planning, tax strategies, and will preparation.

  • 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.

  • Childcare / Family Care

    In some offices, 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.

  • Flexible Working

    Based on manager approval, the following arrangements may be available to help employees meet their personal and family responsibilities: part-time schedules, job sharing, telecommuting, and alternate hours.