Compliance – Markets Surveillance – Analyst
Goldman Sachs is hiring an Analyst for its Markets Surveillance Compliance team in Bengaluru, Karnataka. The role focuses on market abuse risk assessment, surveillance development and enhancement, data analysis, testing, and regulatory research.
About Markets Surveillance Compliance
Markets Surveillance Compliance (MSC) is responsible for the development and execution of the firm's trade surveillance program, with a focus on market manipulation, insider trading, and regional or policy-related risks.
The team operates across three key pillars: Risk Assessment, Design & Development, and Investigate & Escalate. This role sits within the Risk Assessment and Design & Development pillars and supports the assessment of market abuse risks and the design and enhancement of surveillance controls.
Key Responsibilities
- Support the execution and ongoing maintenance of Market Abuse Risk Assessments (MARA), including analysis and documentation of inherent risk, control suite, and residual risk assessments.
- Develop knowledge of market abuse behaviors and indicators across different businesses, financial products, and trading activities.
- Support change management assessments arising from changes in business activities, products, markets, regulations, or surveillance controls.
- Analyze the surveillance control environment and identify observations, potential gaps, and areas requiring further review.
- Support the design and enhancement of surveillance controls through analysis of order and trading behaviors, surveillance logic, detection criteria, parameters, thresholds, and related data.
- Perform data analysis and testing to assess the operation and effectiveness of new and existing surveillance controls.
- Review detection results and alert volumes and assess the impact of proposed surveillance changes.
- Execute defined testing for surveillance enhancements, identify exceptions or unexpected outcomes, and document findings.
- Support the development of new or enhanced surveillance scenarios through research, data analysis, and evaluation of potential approaches.
- Develop familiarity with Equities and FICC products and trading flows.
- Conduct research into relevant market abuse regulations, regulatory developments, and industry practices.
- Prepare risk assessments, analytical summaries, testing documentation, presentations, and governance materials.
- Collaborate with Line Compliance, Surveillance Teams, Compliance Engineering, and stakeholders across the Americas, EMEA, and APAC.
- Support weekly, monthly, and quarterly management reporting and maintain accurate records of risk assessments, surveillance changes, issues, and remediation activities.
Basic Qualifications
- Bachelor's degree.
- Up to four years of relevant professional experience in financial services, compliance, risk, data analytics, technology, audit, or a related field.
- Interest in financial markets and the ability to develop an understanding of financial products and trading activities.
- Strong analytical and problem-solving skills with close attention to detail.
- Strong written and verbal communication skills.
Preferred Qualifications
- Interest in compliance laws, rules, regulations, market abuse risks, and typologies.
- Motivation to learn and continuously improve.
- Ability to work independently on assigned analysis and form evidence-based observations.
- Ability to escalate issues or seek guidance when appropriate.
- Strong analytical, interpersonal, communication, and organizational skills.
- Ability to manage multiple priorities effectively.
- Academic background in finance, economics, mathematics, computer science, engineering, statistics, or another quantitative, financial, or analytical discipline.
- Familiarity with Excel, SQL, Python, or other analytical tools is beneficial but not essential.
About Goldman Sachs
Goldman Sachs is a global financial services firm providing investment banking, securities, and investment management services. The firm is headquartered in New York and maintains offices around the world.
How to Apply
Interested and eligible candidates can apply online through the official Goldman Sachs careers portal.
Official Job ID: 185350