Bulge Bracket Investment Banks
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**Compliance, Communications Compliance, Associate, Salt Lake City** - **Role**: Review communications for content, regulatory compliance, and risk; resolve potential issues; liaise with stakeholders; design and maintain communication surveillances. - **Skills**: Knowledge of regulatory environments, strong interpersonal skills, attention to detail, problem-solving, and MS Office tools. - **Experience**: 2-5 years, preferably in financial services or related industries. - **Location**: Salt Lake City, UT - **Division**: Compliance Division, E-Communications Compliance
- Compensation
- Not specified USD
- City
- Salt Lake City
- Country
- United States
Currency: $ (USD)
Full Job Description
Compliance, Communications Compliance, Associate, Salt Lake CitySalt Lake City, UT, United States
Opportunity Overview
CORPORATE TITLEAssociate
OFFICE LOCATION(S)Salt Lake City
JOB FUNCTIONE-Communications Compliance
DIVISIONCompliance Division
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains a global presence.
Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.
E-Communications Compliance
The successful candidate will be responsible for reviewing the electronic and voice communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.
Principal Responsibilities:
- Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
- Identify, document and resolve potential regulatory/compliance issues
- Partner with Business Aligned Compliance and generate and review monthly reporting summaries on issues identified
- Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of communications
- Design, testing, and maintenance of communication surveillances
- Assist with managing the firms communication retention framework, including:
- In partnership with Legal, evaluate potential surveillance requirements for communication functionalities within applications
- Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications
- Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
Basic Qualifications:
- 2-5 years of experience, preferably in the financial services industry
- Additional language skills preferred
- Regulatory/Audit related experience preferred.
- Strong interpersonal skills, including the ability to collaborate and work as a team
- Attention to detail and strong follow-up skills
- Excellent oral and written communications skills
- Excellent problem solving skills with the ability to exercise sound and balanced judgment
- Ability to handle multiple tasks simultaneously and work under pressure
- Ability to juggle competing priorities and stakeholder concerns
- MS Office tools such as Outlook, Word, and Excel skills including creating pivot tables, and running formulas. Knowledge of data manipulation and visualization techniques would be a plus
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.
Were 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 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.
We Offer Best-In-Class Benefits
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.
Holiday & Vacation Policies
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.
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