Compliance, GSAM Direct Investing Compliance, Analyst/Associate, SLC / NY



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.

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This position sits in divisional compliance with Goldman Sachs Asset Management (GSAM) Compliance.

GSAM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. GSAM is one of the pre-eminent investment management organizations globally.

The Direct Investing Compliance Team in Goldman Sachs Asset Management (GSAM) covers all compliance aspects for GSAM's Fundamental Equity (FE), Quantitative Investment Strategies (QIS), GS Investment Partners (GSIP), and direct Real Estate (RE) businesses and GSAM's Central Trading Desk (CTD) and supports the businesses in the Americas. This is an analyst/associate position for the Salt Lake City-based team.

The QIS group in GSAM is responsible for managing client assets, and is a market leader in quantitative portfolio management, offering equity and macro alpha strategies, smart beta strategies, hedge-fund and liquid alternative strategies, and tax-aware investment strategies. The FE business is an investment team in GSAM with a global suite of products investing in major and developing equity markets, utilizing a fundamental stock selection process based on in depth research. The GSIP business is a global investing business spanning public and private investments and offering hedge fund and liquid alternative products. The RE business makes investments in properties in the US. CTD executes transactions for portfolio management teams across GSAM, including the QIS, FE, and GSIP teams. The selected candidate will have exposure to products traded across these teams, including the following: equities, currencies, futures, options, swaps and various OTC derivatives, private equity, real estate


As part of the Direct Investing Compliance team, the Analyst/Associate's primary responsibilities will include:

  • Provide advisory support to the business and compliance teams on a daily basis • Perform trade and e-mail surveillance, draft and update policies and procedures, and deliver compliance trainings • Review marketing materials that are used to pitch GSAM products and services to clients • Coordinate with Business areas, Legal, Technology and Operations to assist with new business initiatives and regulatory requirements • Participate in the review and evaluation of new products to identify compliance issues and surveillance needs • Manage ad-hoc and long-term projects as required

Basic Qualifications:

  • Analyst level: 1-2 years of relevant experience• Associate level: 3-6 years of relevant experience, with a minimum of 2 years in asset management and/or other financial industry compliance experience • Interest and willingness to develop expertise in legal, regulatory and compliance issues in the financial industry • Risk and control focused individual with excellent judgment • Strong analytical and risk assessment skills • Concise verbal and written communication skills • Excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions • Self-starter, works independently, and proactively follows-up. Strong sense of urgency • Ability to multi-task and meet multiple deadlines. Organized and attentive to detail

Preferred Qualifications:

  • Project management experience • Knowledge of products traded, as noted above


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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