• Compliance, Quality Control Manager, Associate/VP

    Location(s) US-UT-Salt Lake City
    Job ID
    2019-52343
    Schedule Type
    Full Time
    Level
    Vice President/Executive Director
    Function(s)
    Compliance
    Region
    Americas
    Division
    Compliance
    Business Unit
    Financial Crime Compliance COO
    Employment Type
    Employee
  • MORE ABOUT THIS JOB

    GLOBAL COMPLIANCE: Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm s culture of compliance. Compliance accomplishes these through the firm s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s 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 firm s 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.

    BUSINESS UNIT: Financial Crime Compliance (FCC) has primary responsibility for the execution of the firm’s enterprise-wide Anti-Money Laundering (AML), anti-bribery, and government sanctions compliance programs and, among other things, performs enhanced due diligence and government sanctions screening, as well as surveillance and investigations designed to identify potential terrorist financing, money laundering, bribery, market abuse, or other suspicious activity.

    OPPORTUNITY: The Quality Control Manager will work closely with the Global Head of Financial Crime Compliance Operations and the FCC team quality assurance representatives to ensure quality assurance standards are met, tracked and reported. The Quality Assurance manager will be responsible for ensuring enhancements to the program are developed, implemented and documented.

    RESPONSIBILITIES AND QUALIFICATIONS

    JOB DUTIES:

    • Develop quality assurance governance structure, and policies and procedures
    • Interpret and implement quality assurance standards (e.g., sampling and performance expectations, metrics and management reporting)
    • Facilitate regular discussions with functional quality assurance representatives
    • Collect, document and enhance remediation plans
    • Manage depository of statistical quality assurance analyses
    • Oversee the implementation and monitor the efficiency of quality control tools and applications
    • Prepare reports to communicate status of BAU and strategic quality assurance initiatives
    • Evaluate audit findings and implement appropriate corrective actions
    • Facilitate risk assessment and prioritization from a quality assurance perspective
    • Assure ongoing compliance with quality and industry regulatory requirements

    PREFERRED QUALIFICATIONS 

    • Bachelor’s degree
    • Finance industry experience
    • Anti-money laundering or financial crime compliance experience preferred
    • Knowledge of QA concepts, methodologies and relevant regulatory requirements
    • Working knowledge of QA tools, applications and databases
    • Strong verbal and written communications skills
    • Excellent attention to detail
    • Data management and analysis background desired
    • Strong organizational and problem solving skills
    • Experience with standard computer applications, including Microsoft Office and Excel

     

    YOUR CAREER: Goldman Sachs is a meritocracy where you will be given all the tools to help you develop. At Goldman Sachs, you will have access to excellent training programmes designed to improve multiple facets of your skills portfolio. Our in-house training programme, Goldman Sachs University offers a comprehensive series of courses that you will have access to as your career progresses. Goldman Sachs University has an impressive catalogue of courses which span technical, business and leadership skills training.

     

    ABOUT GOLDMAN SACHS: The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world. The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet 

    ABOUT GOLDMAN SACHS

    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

    © The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.