Compliance, Consumer FCC, Analyst/ Associate, Salt Lake City



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.

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 part of Financial Crime Compliance.

RESPONSIBILITIES AND QUALIFICATIONS

Responsibilities:

  • Review and analyze transactional activity, including all forms of funds transfers
  • Review and analyze low priced or penny stock trades
  • Draft Suspicious Activity Reports (SARs)
  • Research open source information (e.g., Pacer, Lexis, World-Check), closed source databases, and internal client information and account transaction databases
  • Compile information and documents from a variety of sources
  • Communicate and collaborate with attorneys, compliance and business staff
  • Apply knowledge of products, services and expected activity
  • Perform other duties and project work as assigned.

Qualifications:
  • Prior brokerage or bank experience with extensive knowledge of financial markets and products
  • Prior compliance experience is preferable, prior AML experience would be a bonus
  • Keen attention to detail
  • Strong analytical and risk assessment skills
  • Ability to adapt quickly to new changes and challenges
  • Ability to prioritize work flows and ensuredeadlines 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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.


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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.


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