Job Description

Job Duties: Associate with Goldman Sachs & Co. LLC in Salt Lake City, Utah. Manage a team of compliance analysts covering communication surveillance Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information. Independently identify, document, and resolve potential regulator and compliance issues. Respond to inquiries from internal teams and stakeholders and industry regulators regarding exams, inquiries, and investigations into the Firm’s adherence to regulations, policies, and agreements. Partner with coverage area and generate and review monthly reporting summaries on issues identified. Liaise with compliance, legal, employee relations, and business management to assess and assign risk and follow up on issues identified during review of e-communications. Assist in testing and developing efficiencies with existing surveillances and developing and testing new surveillances, including testing the lexicon and metadata parameters, and maintaining E-Communication surveillance. Maintain integration of systems to ensure surveillance quality and behavior across innovative new platforms. Liaise with Anti-Bribery Group within Financial Crime Compliance to assess relationship candidates for hire through e-communications tools.

Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Legal Studies, Finance, Accounting, or a relevant analytical field. One (1) year of experience in the job offered or in a related role. Must have one (1) year of experience with: identifying potential regulatory and compliance risks and issues while reviewing written communications by finding potential breaches of firm policies, including off-channel business communications, leakage of sensitive information, or inappropriate commentary; presenting and providing verbal and written reporting and metrics to senior management and responding to other ad hoc requests from stakeholders including requests from internal audit and/or regulators; developing and reviewing firmwide policies in collaboration with other teams to provide guidance to employees on communications compliance related matters; applying knowledge of financial products and relevant laws and regulations to manage and mitigate regulator and compliance risk, including market manipulation and spoofing; utilizing electronic discovery tools including experience with identifying, reviewing, and producing relevant electronically stored information; and utilizing MS Office tools, such as Excel, to create pivot tables, running formulas, and macros.

©The Goldman Sachs Group, Inc., 2024. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity.

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