Compliance, Global Compliance Employee Services, Analyst- Salt Lake City
MORE ABOUT THIS JOB
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.
RESPONSIBILITIES AND QUALIFICATIONS
Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations, the review and approval of employees' outside brokerage accounts, private investments and outside interests. The group also supports the preclearance process for employees' personal trading activities and the disclosure and filing process for the firm's and its employees' potentially reportable litigation and regulatory disclosures.
- Provide guidance to internal clients on appropriate interpretation and application of policies/procedures,
- Ensure that our professionals secure and maintain proper licensing and fulfill ongoing obligations to meet their continuing education requirements,
- Review and approve requests from employees to maintain outside brokerage accounts,
- Review and approve requests from employees to make private investments and participate in outside activities,
- Facilitate the employee trading preclearance process in outside brokerage accounts and accounts maintained at the firm,
- Assist with the firm's annual employee compliance certification process,
- Produce management reports and work with Technology to define system enhancements,
- Respond to internal and regulatory audits,
- Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
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 reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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