Compliance, Transaction Monitoring Group, Analyst

Location(s) US-UT-Salt Lake City
Job ID
Schedule Type
Full Time
Business Unit
Transaction Surveillance Group
Employment Type




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. 


Financial Crime Compliance is seeking an analyst/ associate with some prior brokerage or AML experience. The role would entail the investigation and analysis of wires, journals, trading and market data to detect suspicious behavior including insider trading, market manipulation, insider abuse, and various other types of financial crime.




Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. You'll be part of a tea 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.


The AML Transaction and Market Surveillance Group (TMSG) is responsible for coordinating the firm wide processes for investigating and reporting suspicious activity or transactions. This mandate discharged in several ways. For example, the Transaction and Market Surveillance Group conducts automated surveillance of transaction activity for evidence of unusual asset! movements that could be probative of money laundering, terrorist financing, fraud, certain forms of market manipulation, or other improper conduct. The group also drives the design and implementation of enhance risk-based models and surveillances in this area.  


The Analyst in the Transaction and Market Surveillance Group is responsible for:

  • Reviewing and analyzing transactional activity, including all forms of funds transfers;
  • Reviewing and analyzing low priced or "penny" stock trades;
  • Reviewing and analyzing wires, journals and market data to detect suspicious activity as detailed above and to present findings to management
  • Acting as a data engineer; understanding trends in underlying data and advise on modeling methodologies to detect fraudulent activity detailed above
  • Producing forensics related to surveillances and other advice on controls to monitor suspicious behaviors
  • Producing models and surveillances
  • Communicating and collaborating with attorneys, compliance and business staff
  • Applying knowledge of products, services and expected activity
  • Performing other duties and project work as assigned
  • The role requires a degree (Bachelors/ Masters) in a computational field (Statistics, Economics, Computer Science, Applied Mathematics, Engineering, or related quantitative disciplines)
  • Programming skills (Matlab, R, Python, etc.)
  • Proficiency with SQL and RDBMSs (preferably PostgreSQL or m SQL)
  • Experience with handling large data sets; familiarity with data cleansing methodologies, and data transfer processes.
  • Preferably 1-2 years working experience in an analytical or a technical role
  • Effective written and verbal communications skills
  • Willingness to adapt in a fast-paced work environment; strong sense of urgency
  • Strong work ethic
  • Client service experience (internal or external)
  • Experience working as part of a global team



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

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