Compliance, Securities Division Compliance, Marketing Material Compliance, Associate - Salt Lake City


Do you have an eye for detail and a strong knowledge of equity and fixed income financial products? We are looking for a professional to join our Marketing Materials Compliance ("MMC") team within Securities Division Compliance to review written communications created by Securities Division personnel globally.


Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. 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.


MMC reviews trade ideas, detailed analysis, research summaries, educational materials, and other written materials regarding financial products (e.g., equities, fixed income, currencies, commodities, etc.). MMC works closely with other departments, such as wider Divisional Compliance, ECommunications Compliance, Information Technology, Internal Audit and Legal, Compliance Testing Group, and Regulatory Audits and Inquiries.

MMC performs compliance oversight within a fast-paced environment where teamwork and collaboration are highly valued. Our focus is on practical implementation of laws/regulations.

  • Review written materials for potential conflicts of interest, compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and data licensing issues, and other regulatory or reputational risks to the firm. (70% of daily tasks)
  • Undertake surveillance of compliance with various written communications policies.
  • Create, update, and deliver regional system training materials for the Securities Division.
  • Work with Divisional Compliance and Legal to analyse rule changes and provide input on updating policies regarding written communications.
  • Liaise with Technology on system changes and enhancements.
  • Analyse surveillance results and data to produce management reports.
  • Create, update, and deliver training regarding applicable laws, regulations, policies and procedures, and methods and best practices for reviewing communications.
  • Identify potential targets for investigation and conduct associated surveillance.
  • Draft and maintain disclosures and risk factors to be used in marketing materials.
  • Participate in regulatory and internal investigations and audits.

Basic Qualifications•Education: Bachelor's degree. Advanced degree or experience in securities industry a plus.

  • Reading/writing language proficiency skills for reviewing and commenting on marketing materials prepared in English.
  • Good drafting ability, but drafting will be primarily focused on providing comments on written material, and drafting short policy/guideline documents and trainings. Clarity and brevity is essential.
  • Must be a proactive team player with a strong sense of urgency and ability to get along with others.
  • Must be comfortable working with colleagues in different geographic regions and time zones.
  • Must work well under pressure.
  • Excellent multi-tasking abilities required. Ability to implement solutions is critical.
  • Strong interpersonal, communication (live, phone, email), and analytical skills.
  • Must be comfortable addressing problems where there is no clear cut answer and making decisions based on incomplete information.
  • Should be detail oriented.
  • Must be comfortable issue-spotting.

Preferred Qualifications•Two years of experience in either a compliance role or working at an investment bank.

  • One or more of the following languages: Spanish, Portuguese, or French.

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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