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Compliance, Compliance Employee Services - Licensing, Analyst / Associate

Goldman Sachs

Goldman Sachs

IT, Legal
Salt Lake City, UT, USA
Posted on Thursday, June 6, 2024

Job Description

Global Compliance
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.
Overview

Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations, the review and approval of employees’ outside brokerage accounts, private investments and outside interests. The group also supports the preclearance process for employees’ personal trading activities and the disclosure and filing process for the firm’s and its employees’ potentially reportable litigation and regulatory disclosures.

Principle Responsibilities:

  • Prepare applications and maintain licenses that allow the trading desks to engage in mortgage and consumer lending activities
  • Liaise with other teams and stakeholders across the firm to ensure regulatory examinations and filings are completed accurately
  • Perform research and data-gathering for state, federal, and other compliance requirements.
  • Review counterparties to protect the firm from reputational and regulatory risks.
  • Special projects and initiatives based upon business needs

Basic Qualifications:

  • This role requires a degree (Bachelors/Masters/JD)
  • Self-starter with drive, curiosity, and strong work ethic
  • Experience in multi-tasking, project management, and prioritization to ensure deadlines are met
  • Strong interpersonal skills, including written and verbal communication
  • Excellent problem solving and analytical skills, attention to detail, and ability to adapt
  • Able to effectively analyze and interpret large data sets
  • Intermediate/strong working knowledge of Excel, PowerPoint, Adobe 2020 experience necessary

Preferred Qualifications:

  • Experience with legal research and analysis
  • Knowledge of mortgage and consumer lending products
About Goldman Sachs
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity