Compliance, Global Compliance Employee Services, Analyst/Associate - Salt Lake City
Global Compliance is an integral part of the firm and serves internal clients in all aspects of the firm’s business. Generally, Global Compliance’s responsibilities include advising the firm’s professionals on regulatory and reputational issues concerning the firm’s businesses and market practices and proactively solving problems and issues within a dynamic regulatory environment.
The Global Compliance Employee Services (GCES) Outside Accounts Team 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
- Work with Technology to define system enhancements
- Respond to internal and regulatory audits
Preferred Qualifications• Education: Bachelors Degree
- Strong analytical, organizational, and project management skills
- Interest in the financial markets and securities regulation and rules
- Ability to work as a member of a team in a fast-paced environment
- Possess excellent verbal and written communication skills
- Ability to multi-task
- Strong proficiency in Microsoft Excel, Power Point and Word a plus
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.
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