Prepare for your Goldman Sachs compliance interview

Regulatory compliance and surveillance cases calibrated to Goldman's focus on market conduct, AML controls, and compliance advisory.

Socratify AI

The Interview

What Goldman Sachs is looking for

Compliance Interview

Regulatory Compliance & Advisory

01Market Conduct & Surveillance

02AML/KYC Framework Design

03Regulatory Change Management

04Compliance Risk Assessment

Behavioral Interview

01Ethical Judgment

02Regulatory Awareness

03Analytical Problem Solving

04Stakeholder Influence

Market conduct and trade surveillance//AML/KYC and financial crime prevention//Regulatory change management

Practice Library

Goldman Sachs exercises

Ready to ace your Goldman Sachs compliance interview?

Prepare for your Goldman Sachs compliance interview

Regulatory compliance and surveillance cases calibrated to Goldman's focus on market conduct, AML controls, and compliance advisory.

Socratify AI

The Interview

What Goldman Sachs is looking for

Compliance Interview

Regulatory Compliance & Advisory

01Market Conduct & Surveillance

02AML/KYC Framework Design

03Regulatory Change Management

04Compliance Risk Assessment

Behavioral Interview

01Ethical Judgment

02Regulatory Awareness

03Analytical Problem Solving

04Stakeholder Influence

Market conduct and trade surveillance//AML/KYC and financial crime prevention//Regulatory change management

How It Works

Master Goldman Sachs Compliance Interviews

Compliance cases scored on regulatory knowledge, surveillance design, and ethical judgment. · Click to expand

1Your Risk & Compliance Goals

Risk Framework Design

Practitioner

Regulatory Navigation

Practitioner

2Risk & Compliance Case Prep

Goldman Sachs' prime brokerage arm faces a $2B counterparty exposure after a client...

CASE INTERVIEWHard

Goldman Sachs

3Frameworks

Framework

Did the control environment fail to prevent the activity?

Were risk limits adequate and enforced?

VaR limit: $50M; actual position VaR peaked at $180M (3.6x breach)

Limit breach escalation: 23 alerts generated, 0 escalated to senior management

Was segregation of duties compromised?

Trader had system access to modify own trade confirmations since system migration

Access review: last completed 14 months ago (policy: quarterly)

Why did detection mechanisms fail for 7 months?

Were reconciliation processes functioning?

Daily P&L reconciliation: 412 breaks in 7 months, 89% auto-cleared

Aged break threshold raised from $500K to $2M during "efficiency project"

Did surveillance and monitoring detect anomalies?

Trade surveillance false positive rate: 94% — analysts reviewing 800+ alerts/day

Did governance and escalation processes work?

Were risk reports reaching decision-makers?

Risk committee meeting frequency: monthly (industry standard: weekly for trading desks)

Desk-level risk dashboard: last updated 3 months before discovery

Was the risk culture enabling concealment?

Whistleblower reports for trading floor: 0 in 24 months; peer banks avg: 12/yr

4Feedback

Risk Framework

Distinctive

Regulatory Navigation

Strong

Control Testing

Meeting Bar

Compliance Culture

Strong

Repeat

Practice Library

Goldman Sachs exercises

Goldman's trade surveillance system generates 800+ alerts daily with a 94% false...

CASE INTERVIEWHard

Investment Banking · Surveillance OptimizationGoldman Sachs

A new SEC regulation requires Goldman to implement enhanced beneficial ownership...

CASE INTERVIEWHard

Investment Banking · Regulatory ImplementationGoldman Sachs

Design a compliance risk assessment methodology for Goldman's new digital assets trading...

LEARNMedium

Investment Banking · Risk Assessment DesignGoldman Sachs

Tell me about a time you had to push back on a business decision because of regulatory...

BEHAVIORALMedium

Behavioral · Ethical CourageGoldman Sachs

Describe a complex problem where you had to synthesize information from multiple sources...

BEHAVIORALMedium

Behavioral · Analytical SynthesisGoldman Sachs