Compliance, Global Compliance Employee Services (GCES), Associate, Salt Lake City
Posted on: 5 Mar 2021
Salt Lake City, UT
Job Description
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 firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.
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:
* With legal and compliance professionals, evaluate regulatory disclosure requirements and assist in making regulatory filings
* Work with employees to evaluate employee disclosures
* Assign and coordinate the global review of potentially reportable developments
* Provide guidance to internal clients on the appropriate interpretation and application of firm policies and procedures
* Support the registrations function of GCES
* Ensure that the firms licensed professionals make required disclosures
* Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers
Qualifications:
* Education: J.D. highly preferred
* Two years of compliance or legal-related experience preferred
* Financial services experience desirable
* Superior analytical, organizational, and project management skills
* General understanding of the current regulatory environment and financial markets and/or securities regulations and rules
* 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
Goldman Sachs
New York, New York
The Goldman Sachs Group, Inc. operates as an investment banking, securities, and investment management company worldwide. It operates in four segments: Investment Banking, Institutional Client Services, Investing & Lending, and Investment Management. The Investment Banking segment provides financial advisory services, including strategic advisory assignments related to mergers and acquisitions, divestitures, corporate defense activities, restructurings, spin-offs, and risk management; and underwriting services, such as debt and equity underwriting of public offerings and private placements of various securities and other financial instruments, as well as derivative transactions with public and private sector clients.
The Institutional Client Services segment is involved in client execution activities related to making markets in cash and derivative instruments for interest rate products, credit products, mortgages, currencies, commodities, and equities; and provision of securities services comprising financing, securities lending, and other brokerage services, as well as the marketing and clearing of client transactions on various stock, options, and futures exchanges.
The Investing & Lending segment invests in and originates longer-term loans; and makes investments in debt securities and loans, public and private equity securities, and infrastructure and real estate entities, as well as provides unsecured and secured loans through its digital platforms. The Investment Management segment offers investment management services; and wealth advisory services consisting of portfolio management, financial planning and counseling, and brokerage and other transaction services. The company serves corporations, financial institutions, governments, and individuals. The Goldman Sachs Group, Inc. was founded in 1869 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees35,900
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Website
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Jobs Posted925
