Compliance, Consumer Compliance - Complaints Management, Ana

at Goldman Sachs & Co. in Wilmington, Delaware, United States

Job Description


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, intelligence, 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 YOUR IMPACT We’re looking for a Compliance Analyst/Associate to join our Consumer Compliance Team. You would use your skills, ideas and leadership to implement processes, systems, reporting, and controls around complaints management for our consumer businesses. OUR IMPACT Our consumer lending and consumer deposits compliance teams partner with all functional areas of the consumer business to advise on business strategy, develop compliant processes within the business, implement compliance processes, systems, and digital tools for identifying, measuring, and mitigating risk and reporting on the status of such risk. From day one, you will be involved in growing a new business within the Firm. HOW YOU WILL FULFILL YOUR POTENTIAL • Collaborate with the businesses and manage the day-to-day complaints process to understand the concerns, identify the potential cause, and determine the required resolution, as well as assist the businesses in responding to the customer.

+ Tracking initiatives, including business changes, to identify potential risk and assist the business with control environment development.

+ Execute processes for identifying, measuring, and reporting data regarding key compliance risk indicators

+ Conduct analyses of data to identify risks and root causes for Senior Management

+ Use learnings to develop new strategies, systems, and technologies for addressing risks relating to consumer business operations and approach

+ Assist the relationship with regulatory agencies, examiners, internal auditors and other company team members and assists with action plans created as a result of examinations, audits or internal testing

Basic Qualifications:

+ Excellent written and verbal communication skills

+ Ability to quickly grasp complex concepts, including global business and regulatory matters

+ Experience in delivering high quality work products, reflecting attention to detail and analytical prowess

+ Ability to handle multiple tasks simultaneously and meet deadlines

+ Strong problem-solving skills with the ability to exercise sound and balanced judgment

Preferred Qualifications:

+ Minimum three years of experience, with a strong understanding of retail focused financial businesses

+ Experience in a consumer lending and consumer deposits environment

+ Prior regulatory experience beneficial

+ Knowledge of applicable federal and state consumer banking laws and regulations, including, among others, Truth in Savings Act, Electronic Funds Transfer Act and Fair Credit Reporting Act.


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: © The Goldman Sachs Group, Inc., 2020. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Location(s)US-TX-Richardson | US-DE-Wilmington | US-UT-Draper

Job ID 2021-84549

Schedule Type Full Time

Level Associate

Function(s) General


Division Compliance

Business UnitConsumer Compliance

Employment Type Employee

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Job Posting: JC191476992

Posted On: Sep 03, 2021

Updated On: Oct 26, 2021