Compliance, Voice Communication Surveillance, Analyst - 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
The successful candidate will be responsible for reviewing recorded voice communications (i.e., recorded telephone calls) of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Voice Communications team works closely with Compliance, Legal, and Technology. This is a newly formed team, and team members will have the opportunity to develop surveillances, manage projects, participate in firm wide initiatives, and conduct training.
- Utilize voice communications surveillance systems to review recorded voice communications for content, appropriateness, regulatory compliance, behavioral trends and the misuse of confidential information (among other things)
- Identify, document and resolve potential regulatory/compliance issues
- Identify and test potential enhancements to voice surveillance systems and processes
- Create monthly reporting summaries on reviews conducted and 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 recorded voice communications
- Liaise with Technology on continued enhancements to voice communications surveillance systems
- Liaise with global voice and electronic communication surveillance team members to ensure consistency across review mediums and on handling issues identified
- Surveillance creation and testing; participate in the development of surveillances of voice recorded communications
- Prior discovery and/or record review experience
- Attention to detail and strong follow-up skills
- Excellent oral and written communications skills
- Strong interpersonal skills
- Excellent research and problem solving skills with the ability to exercise sound and balanced judgment
- Ability to handle multiple tasks simultaneously and work under pressure
- Additional language skills (preferably spoken fluency in French, German and/or Russian)
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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