Compliance-Salt Lake City-Analyst/Associate-Global Compliance Employee Services

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.

Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees' outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees' personal trading activities. Within GCES, the Government Interactions Compliance team is responsible for compliance matters related to political activities, pay-to-play, and lobbying. This includes evaluating employee activities for compliance with federal, state, and local pay-to-play rules, as well as monitoring employee activity and filing regulatory reports related to lobbying. This role will also support the Private Investment & Outside Activities team which is responsible for helping the firm avoid conflicts of interest related to employee private investments and outside business activities.

An opportunity exists within the team for an Analyst/Associate role.

Responsibilities

• Provide guidance to the Firm's employees on appropriate interpretation and application of policies and procedures related to political activities, lobbying, private investments and outside activities
• Assist with regulatory filings and registrations for employees engaged in lobbying and ensure that regulatory filings comply with regulatory requirements and otherwise adhere to firm policies and industry best-practices
• Review employee political activity requests for compliance with relevant pay-to-play and ethics rules
• Review employee requests to make private investments and participate in outside activities, ensuring compliance with all relevant laws and regulations that pertain to those activities/investments
• Utilize analytical, organizational, and project management skills to maintain a high-volume workflow and turn around requests in a timely manner
• Escalate situations, as appropriate, to subject matter experts across the firm and other relevant divisional compliance officers and business unit managers

Qualifications

• Possess a general understanding of the current regulatory environment and financial markets
• Detailed-oriented with a strong commitment to excellence
• Ability to work independently and exercise sound and balanced judgement
• Ability to multi-task and work under pressure
• Superior analytical, organizational, and project management skills
• Excellent verbal and written communication skills

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.