Compliance, E-Communication Surveillance, Associate/Vice President - 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.

RESPONSIBILITIES AND QUALIFICATIONS

Principal Responsibilities:

  • Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other things)
  • Identify, document and resolve potential regulatory/compliance issues
  • Create monthly reporting summaries on issues identified
  • Liaise with Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
  • Liaise with global E-surveillance team to ensure consistency on handling issues identified
  • Surveillance creation and testing; create efficiencies with existing surveillances

Qualifications:

  • Prior document and/or e-discovery review experience
  • Attention to detail and strong follow-up skills
  • Excellent oral and written communications skills
  • Strong interpersonal skills
  • Excellent problem solving skills with the ability to exercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under pressure
  • French, German and/or Spanish language skills preferred

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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