Compliance, Associate, Regulatory Compliance, Sao Paulo Sao Paulo · Brazil · Associate

Opportunity Overview sitemap_outline CORPORATE TITLE Associate language OFFICE LOCATION(S) Sao Paulo assignment JOB FUNCTION Regional Compliance account_balance DIVISION Compliance Division

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, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Your impact

We are seeking a highly motivated team player for a senior analyst role within the Compliance Division in Brazil. In this role, you will be part of the Regulatory Compliance team that aims to ensure that the entities of GS in Brazil are in compliance with the applicable regulatory rules as well as global and local policies.

Our impact

Compliance Division in Brazil is responsible for managing the Compliance risk of the GS entities in Brazil. The Compliance Division in Brazil is part of the Global Compliance Division of Goldman Sachs and works very closely with global teams to performs its daily activities and properly manage the risks.

Responsibilities

• Track, monitor and work on the implementation of regulatory requirements issued by the main regulators and self-regulators in Brazil that regulates the GS entities in Brazil – Central Bank of Brazil, CVM, B3, BSM, ANBIMA, APIMEC;
• Track and monitor regulatory examinations as well as be the facilitator between the examiners and internal areas/staff;
• Log, register and track regulatory examinations and inquiries from regulators and self-regulators;
• Prepare regulatory reports to address several regulatory requirements from the main regulators and self-regulators in Brazil;
• Prepare and implement internal controls testing plan by performing programmatic reviews that aim to evaluate the effectiveness of the controls implemented by several areas of the GS entities;
• Track and control professional licenses and registration required by the applicable regulators and self-regulators;
• Track and log attendance for local compliance training provided to new hires and other related training;
• Create, review and update local policies and procedures in order to address regulatory requirements;
• Provide advisory for Federation Division.

Qualifications

• Bachelor's degree in Law;
• Fluent in English and Portuguese;
• 3-5 years of work experience in the financial market;
• Good knowledge of banking and capital markets regulation;
• Positive attitude and strong work ethic;
• Excellent written and verbal communication skills;
• Highly organized with attention to detail and excellent follow-through;

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

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

We offer competitive vacation policies based on employee level and office location. 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

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.

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.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

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.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.