Compliance, AML Transaction Surveillance Group, Analyst/ Sr. Analyst, Salt Lake City

MORE ABOUT THIS JOB

GLOBAL COMPLIANCEOur 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.

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. The Transaction Surveillance Group is seeking a surveillance Analyst/Associate with prior brokerage experience. The role would entail daily monitoring of account activity as well as conducting high-level investigations of potentially suspicious activity. The surveillance analyst/Associate would be expected to perform due diligence, as well as draft investigative reports. The ideal candidate would have strong investigative skills, a background in the securities industry, the ability to collaborate with others, and prior compliance experience.

RESPONSIBILITIES AND QUALIFICATIONS

Principal Responsibilities:

  • Daily surveillance of brokerage accounts for anomalous, high risk activity.
  • Performing in-depth investigations of potentially suspicious activity. Such investigations may require reviewing historical trade activity, interaction with other compliance representatives as well as the business side and reviewing public records for negative information.
  • The investigator would also be expected to draft Suspicious Activity Reports.

Basic Qualifications

  • Prior brokerage experience with extensive knowledge of financial markets and products.
  • Prior compliance experience is preferable, prior AML experience is a plus.
  • Strong analytical and risk assessment skills.
  • Ability to adapt to new changes and new challenges.
  • Ability to prioritize work flows and ensure deadlines are met.
  • Ability to forge strong relationships with colleagues and clients.
  • Ability to work independently and yet still be team-oriented.
  • Excellent written and verbal communication skills.
  • Proactive, self-motivated and well-organized.

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., 2017. All rights reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.


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