Securities Division Operations - Client Onboarding/Client Implementation - VP - Salt Lake City

    • Salt Lake City, UT



OPERATIONS

Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.

YOUR IMPACT

Our Salt Lake City Client Implementation team is seeking an energetic and detail-oriented professional who is looking to work with a wide variety of individuals from the Investment Banking Division (IBD), Institutional Sales, Compliance and Operations to facilitate an excellent client onboarding experience and mitigate risks associated with the capture and documentation of related transactions. As a member of the Client On boarding organization, the individual will specialize in the review of AML/KYC documentation and the approval of new relationships for the Americas institutional business.

The individual will work directly with our internal partners, clients and sales in a fast paced environment with precision and accuracy. In addition, the individual will lead and motivate team members, work cross-functionally for process and procedure solutions and manage escalations. The ability to prioritize, meet deadlines and communicate to all levels of the organization, including sales, legal and compliance is critical.

OUR IMPACT

The Client Implementation team supports client onboarding for Goldman Sachs Institutional Americas including existing client maintenance and data quality management. The team manages key relationships for the firm and infrastructure providers and assists in the coordination of additional trading features/account types for existing clients. The Client Implementation team is a key part of the Client Onboarding team within Enterprise Operations.

The team is required to conduct AML/KYC checks for Goldman Sachs to meet its compliance obligations and other regulatory requirements. The SLC team covers the non-franchise business overseeing operations primarily for prime brokerage, futures, and derivatives clearing services. Having a working knowledge of the operational flow of a wide variety of products is an asset. The team also works closely with Technology to design new system enhancements to improve efficiencies and controls, and with Compliance to define and implement firm policies and controls.

RESPONSIBILITIES AND QUALIFICATIONS

HOW YOU WILL FULFILL YOUR POTENTIAL

In this role, you will be expected to engage with clients and interact with the Business, Compliance, Credit, Legal and Operations stakeholders to ensure effective onboarding of clients. You will need to be a quick learner and understand the regulatory environment, including multiple new regulations, to identify risk and escalate concerns while ensuring to protect the firm and the clients. They will be required to have the ability to prioritize, meet deadlines and communicate to all levels of the organization. Key responsibilities being:

  • Provide oversight and leadership over the day-to-day client onboarding process (ensuring due diligence is performed to comply with "Know Your Customer" regulations, new account opening approvals, etc.)
  • Manage a team of around 10 people. Assist in the development of junior team members through coaching and mentoring
  • Design procedures to reflect changing regulatory requirements
  • Devise and implement process improvement efficiencies
  • Project management ranging from small enhancements to large-scale, global initiatives
  • Ensuring all communications are of the highest professional standard to maintain client service excellence
  • Timely and effective escalation of potential relationship issues and devising possible resolutions
  • Taking responsibility for delivering against commitments
  • Participate in regular meetings to maintain clarity and consistency surrounding workflow
  • Develop required reporting and identify and implement efficiencies


SKILLS AND EXPERIENCE WE'RE LOOKING FOR

  • Degree : Bachelor's degree required
  • Tenure : At least 6 to 8 years relevant full-time work experience
  • People Management/Culture Building : At least 2 year of experience of managing small and large teams as well as acting in a coaching and advisory capacity to others across the broader organization
  • Technical/ Analytical Skills : Alteryx, SQL, and Tableau proficiency preferred. Expertise in Microsoft Office (Outlook, Word, Excel, and PowerPoint) required. Significant experience analyzing large data sets and synthesizing into key themes and takeaways and are able to upskill others on reporting capabilities
  • Languages : Spanish/Portuguese preferred
  • Client Service : Ability to build relationships with both external and internal clients across all levels of the organization
  • Project Management : Experience in managing small and large scale projects, across various geographies and teams
  • Results-oriented : Ability to handle multiple, time-sensitive projects while focusing on the quality of work delivered, and helping lead projects and teams to a successful conclusion
  • High level of maturity : Ability to manage confidential information and have excellent judgment
  • Communication : Strong communication, organizational, and interpersonal skills and are able to navigate complex situations
  • Prioritization : Ability to prioritize, multi-task, flex, and work in a fast paced, ever-changing environment


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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

Like most financial institutions, Goldman Sachs specializes in several key areas, including mergers and acquisitions, investment research, securities and risk management, and technological innovation.

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