OUR IMPACT

　　Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments, and high net-worth individuals. Founded in 1869, it is one of the oldest and largest investment banking firms. The firm is headquartered in New York and maintains offices in London, Hong Kong, Tokyo, Frankfurt, Bangalore, Hyderabad and other major financial centres around the world. We are committed to growing our distinctive culture and upholding our core values which always place our client's interests first. These values are reflected in our Business principles, which emphasize integrity, commitment to excellence, innovation and teamwork.

　　BUSINESS UNIT OVERVIEW:

　　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.

　　Securities Monitoring and Surveillance (SMS) is part of the Global Banking & Markets (GBM Public) Division Compliance team which provides compliance coverage and monitors trading activity of the Equities and FICC Sales and Trading businesses. SMS's primary function is to manage compliance and regulatory risk through the development and oversight of controls and the review of trading activity of these businesses. SMS helps identify and prioritize the compliance and regulatory risks across the GBM Public Division businesses and works to develop and/or enhance appropriate risk control measures to mitigate such risks.

　　SMS has team members globally across the US, EMEA and Asia, and as such, aims to bring a global perspective and a globally coordinated approach as well as customized solutions to mitigate local regulatory risks.

　　Functional Responsibilities:

　　Review and Oversight of Controls Managerial responsibility of Warsaw team 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. Coordinate issues, findings and practices with colleagues across regions and/or divisions and bring them to conclusion.

　　Preferred Qualifications:

　　Good knowledge of different financial products and market abuse scenarios. Prior managerial or supervisory experience Inquisitive and proactive in identifying risks and proposing solutions. Good interpersonal skills and excellent written and 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 can 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 projects/tasks independently and work under tight deadlines. ABOUT GOLDMAN SACHS

　　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 GS.com/careers.

　　We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

　　© The Goldman Sachs Group, Inc., 2023. All rights reserved.

　　Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity