Compliance, AML, Transaction Surveillance Investigations Manager VP - Salt Lake City


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.


Financial Crime Compliance (FCC) brings together various groups whose complementary areas of expertise enable Goldman Sachs to optimize its enterprise-wide efforts to prevent and detect financial crime. FCC consists of the global Anti-Money Laundering Group, the Government Sanctions Group, the Anti-Bribery Group, the Electronic Communications Surveillance Group, the Risk and Policy Group, the Strategy and Planning Group, and the Financial Crime Compliance Forensics Group. The combined team is composed of professionals with extensive law enforcement, regulatory, legal, compliance, operations, consulting and business experience. It leverages an array of risk ranking, due diligence, surveillance, and analytical processes designed to prevent, detect and report potential money laundering, securities fraud, terrorist financing, bribery, corruption and other violations of law and regulations. Financial Crime Compliance supports all of the firm's core businesses and has personnel in twelve cities in eight countries.


The role of Transaction Surveillance Investigations Manager will report to Financial Crime Compliance management for the firm's consumer-facing businesses and will involve:

  • Becoming initially knowledgeable of the firm's current approach to transaction surveillance and suspicious activity reporting.
  • Overseeing end-to-end suspicious activity reporting process, which entails investigating, documenting, presenting, and, when appropriate, reporting suspicious activity.
  • Managing the review of referrals and escalations, ensuring accurate analysis and documentation of suspicious activity and recommend appropriate risk-based business actions to be taken concerning client/consumer relationships.
  • Conduct Alert and Case Investigation sampling of staff work to assure suspicious activity is reviewed, investigated, and reported in accordance with regulatory requirements and department procedures
  • Recognizing new/emerging patterns/typologies and respond with appropriate investigative techniques based on applied knowledge and a wide range of research/investigative techniques and may provide training and guidance to staff
  • Serve as advisor to subordinate(s) and internal business units to meet department deliverables and/or resolve technical problems.
  • Interact with various stakeholders within the organization to gather critical information for decision making
  • Provide concise weekly case updates, monthly report input and quarterly intelligence briefings profiling key AML risks at all levels of the program for upper level management
  • Perform adhoc/special project assignments as necessary The ideal candidate:
  • Is knowledgeable on the BSA/AML and corresponding SAR filing requirements, particularly as they relate to domestic retail banking customers
  • Is knowledgeable on industry utilities, including case management systems, LexisNexis, and/or Actimize
  • Has strong experience assessing risk level of cases and prioritize accordingly


  • 5-10 years of experience in anti-money laundering regulations, investigation, or AML related field and 2-5 years supervisory experience
  • Excellent writing and oral presentation skills
  • Minimum - Bachelors Degree
  • Strong attention to detail
  • Strong proficiency with Microsoft Excel, and an aptitude for learning new systems and applications
  • Ability to forge strong relationships with colleagues
  • Ability to work with a high level of autonomy
  • Proactive, self-motivated, and well-organized


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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