Job Description

Job Duties: Associate with Goldman Sachs & Co. LLC in Salt Lake City, Utah. Multiple positions available. Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training to assess the firm's compliance, regulatory, and reputational risk. Independently perform surveillance reviews and discuss exceptions with Business Personnel and Compliance Officers. Identify enhancements to the team's Reg W surveillance program. Test the integrity of surveillance reports by participating in testing programs and validating test results. Coordinate issues, findings, and practices with colleagues across regions and/or divisions. Respond to inquiries from the Compliance Testing Group, Internal Audit regarding surveillance controls. Independently develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across GBM-Public businesses, products, and regions. Train new Analysts on the team on internal tools and market manipulation risks.

Job Requirements: Master's degree (U.S. or foreign equivalent) OR Bachelor's degree (U.S. or foreign equivalent) in Business Administration, Finance, Economic Policy, Legal Studies, Human Resources, Management, or a related business discipline. Two (2) years of experience with a Master's degree OR three (3) years of experience with a Bachelor's degree in the job offered or a related role. Must have two (2) years of experience with a Master's degree or three (3) years of experience with a Bachelor's with the following: working in compliance, surveillance, or internal audit within the financial services industry; applying expertise of Regulation W and applicable FINRA, SEC and CFTC regulations as it applies to market manipulation to review surveillance alerts for disposition or escalation; applying knowledge of regulatory framework to proactively identify compliance risks and propose solutions; working with detection logic and surveillance development; identifying control framework deficiency and proposing solutions to mitigate the deficiency; working within a compliance team, including experience handling multiple tasks simultaneously, managing stakeholders' expectations and working under tight deadlines; communicating (both written and verbal) recommendations related to compliance controls to management and internal and external stakeholders and working towards a consensus-driven solution; working with a variety of senior and junior colleagues in various geographical locations and various functions, including but not limited to compliance, engineering and business side personnel to build working relationships that allow for deepened understanding of business and engineering requirements for control development and implementation; reviewing and disposition of alerts, escalating issues and responding to regulatory inquiries; and using vendor applications like Bloomberg or Reuters Eikon to retrieve and use market data.

©The Goldman Sachs Group, Inc., 2024. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity.