Goldman Sachs & Co. Compliance, PWM Compliance, Analyst/Associate in Salt Lake City, Utah
MORE ABOUT THIS JOB
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
Job Summary & Responsibilities
Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This position sits in divisional compliance, supporting the Private Wealth Management Business.
Private Wealth Management Compliance is seeking an Analyst/Associate to join our team based in Salt Lake City. As part of this team, the primary responsibilities will include:
Interacting with the global PWM business and compliance teams on a daily basis
Reviewing marketing materials that are used to pitch Private Wealth Management products and services to clients
Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
Developing and implementing policies, procedures and best practices for PWM
Implementing query-based reports to determine opportunities for improvement and efficiencies with existing surveillances
Creating and implementing live and online compliance training programs to educate business professionals on applicable compliance requirements, legal issues and regulatory changes.
Bachelor’s degree required
1-2 years of relevant experience
Skills and Characteristics:
An ideal candidate should:
Be interested in and willing to develop expertise in legal, regulatory and compliance issues in the financial industry
Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
Work well under pressure and has a positive, hands-on, “can do” attitude
Be able to devise and implement creative and innovative solutions.
Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
Be a quick learner and self-starter, with the ability to work effectively with minimal supervision.
Have the ability to multi-task and adapt to new situations and a dynamic work environment.
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.
Schedule TypeFull Time
Business UnitPWM Compliance