Compliance
GOLDMAN SACHS
IN-Mumbai
44d ago

Responsibilities :

  • Reviewing Client Identification Program (CIP) / Client Onboarding escalations and providing advice to ensure compliance with India and internal AML policies
  • Conducting Enhanced Due Diligence (EDD) on prospective and existing clients to identify issues presenting potential legal, regulatory, sanctions or reputational risk, primarily utilizing publicly available data sources, vendor reports and reviewing client documentation
  • Managing document retention in accordance with applicable AML regulations and firm policies
  • Updating, drafting and implementing applicable KYC / Client Onboarding policies and procedures
  • Providing training to employees on KYC / Client Onboarding related topics
  • Collaborating closely with the global Anti-Money Laundering / Suspicious Activities Group, the Government Sanctions Group, the Anti-
  • Bribery Group, the Electronic Communications Surveillance Group, and the Global Surveillance Group

    RESPONSIBILITIES AND QUALIFICATIONS

    SKILLS & EXPERIENCE WE’RE LOOKING FOR

    Basic Qualifications

  • Prior experience in AML compliance, securities law, law enforcement, investigative or forensic accounting or similar background
  • Knowledge of India CIP / Client Onboarding and relevant regulations
  • Good understanding of the securities industry and investment products, including all major asset classes, options, swaps, and futures
  • Strong analytical, investigative and risk assessment skills
  • Ability to prioritize demanding workflows, detailed-oriented and well organized
  • Ability to take ownership, work independently and yet still be team-oriented
  • Ability to adapt to new changes and new challenges
  • Excellent written and verbal communication skill
  • Effective interpersonal skills
  • Proficiency in PowerPoint and Excel, and experience in external database searches, such as World Check, Factiva, and Lexis / Nexis
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