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Nu Advisory Partners

Compliance, E-Communications Surveillance, Analyst/Associate

Goldman Sachs

Goldman Sachs

Marketing & Communications, 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.

The successful candidate will be responsible for reviewing the electronic and voice communications 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 Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Principal Responsibilities:

  • Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
  • Identify, document and resolve potential regulatory/compliance issues
  • Partner with Business Aligned Compliance and generate and review monthly reporting summaries on issues identified
  • Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of communications
  • Design, testing, and maintenance of communication surveillances
  • Assist with managing the firm’s communication retention framework, including:
  • In partnership with Legal, evaluate potential surveillance requirements for communication functionalities within applications
  • Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications
  • Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms

Basic Qualifications:

  • 2-5 years’ experience, preferably in the financial services industry
  • Prior document and/or e-discovery review experience a plus
  • Strong interpersonal skills, including the ability to collaborate and work as a team
  • Attention to detail and strong follow-up skills
  • Additional language skills preferred
  • Excellent oral and written communications skills
  • Excellent problem solving skills with the ability to exercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Ability to juggle competing priorities and stakeholder concerns
  • MS Office tools such as Outlook, Word, and Excel skills including creating pivot tables, and running formulas. Knowledge of data manipulation and visualization techniques would be a plus
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