Compliance, Global Compliance Employee Services, Employee Trading Compliance, Associate

Location(s) US-UT-Salt Lake City
Job ID
2021-82126
Schedule Type
Full Time
Level
Associate
Function(s)
General
Region
Americas
Division
Compliance
Business Unit
Compliance Employee Services
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. 

RESPONSIBILITIES AND QUALIFICATIONS

Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees’ outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities. 

 

Principal Responsibilities:

  • Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements
  • Review employee requests to open and maintain personal brokerage accounts
  • Review employee trading activity for potential conflicts of interest, policy or regulatory violations
  • Conduct investigations to identify policy breeches
  • Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations
  • Assist in the development of controls and system enhancements to improve the firm’s compliance program
  • Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers

Qualifications:

  • 3+ years of Compliance experience
  • Superior analytical, organizational, and project management skills
  • Ability to work as a member of a team in a high-pressure, fast-paced environment
  • Detail-oriented
  • Excellent verbal and written communication skills
  • Ability to multi-task
  • Strong proficiency in Microsoft Excel, Power Point and Word a plus

ABOUT GOLDMAN SACHS

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.

We’re 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., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity