- Entry level
- No Education
- Salary to negotiate
- Salt Lake City
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.
The Securities Division Compliance (“SDC”) Core Programs Team serves as a central resource for SDC projects, coordinates the sharing of information within SDC, and serves as the Office of the Chief Compliance Officer of the firm’s Swap Dealers and Futures Commission Merchant. Specifically, the team develops SDC reporting, develops and coordinates SDC training, drives technological developments, and supports SDC in fulfilling its obligations under CFTC/NFA rules. In addition, Core Programs team tracks aged Internal Audit and Compliance Testing Group findings and manages the process for maintaining and updating policies and procedures owned by SDC.Responsibilities:
Fulfill the responsibilities of the Office of the Chief Compliance Officer (“Office of the CCO”), including:
preparing and filing regulatory reports related to the firm’s swap dealers (“SD”) and Futures Commission Merchant (“FCM”);
tracking the escalation, remediation, and reporting of non-compliance issues;
interacting with regulators in relation to SD and/or FCM issues in conjunction with relevant stakeholders within the Firm; and
preparing and filing the SD/FCM CCO Annual Report and other related periodic filings
Coordinate review, updating and maintenance of SDC policies and procedures
Assist in the project management of SDC core programs
Assist in the closure of aged findings and develop reporting on that aging
Assist in development of technology solutions for the work of SDC personnel
In order to be successful in this position, candidates must be able to:
Keep strategic direction in mind while still working on detailed tasks
Multi-task and prioritize in a fast moving, high pressure environment
Think critically, analyze problems and develop creative solutions
Adapt easily to change and work both collaboratively and independently
Work effectively with personnel in different office locations and in different time zones
Distill information into clear and succinct communications and presentations
Navigate differing priorities of stakeholders
Proficiency in all Microsoft Office applications
Advanced Excel and PowerPoint Skills
Strong attention to detail and well-organized
Excellent interpersonal, oral and written communications skillsThe 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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
About the company
Goldman Sachs brings people, capital and ideas together to help our clients and the communities we serve. Learn more about our firm.
We provide a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Learn more about our businesses.