The Goldman Sachs Group, Inc

Compliance - Salt Lake City - Associate, Regulatory Compliance - 10072130

The Goldman Sachs Group, Inc$70K — $95K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Master's degree in Finance, Business, Computer Engineering, Computer Science, Information Technology, or related field with 1 year experience, OR Bachelor's degree with 3 years experience.
  • Proven understanding of regulatory environments and financial markets, especially in personal trading and disclosure.
  • Experience using Alteryx or Tableau for workflow automation and business process efficiency.
  • Ability to collaborate with internal stakeholders to ensure compliance and operational integrity.
  • Strong oral and written communication skills for presenting findings and drafting reports.,

Responsibilities

  • Serve as a primary technical liaison for operational support and ad-hoc requests.
  • Lead strategic planning for engineering activities in line with regulatory requirements.
  • Escalate compliance issues to relevant officers and managers.
  • Enhance business process efficiency through Alteryx workflow management.
  • Generate compliance metrics for reporting based on KPI/KRI requirements.
  • Ensure accurate personal trading details for trade monitoring compliance.
  • Conduct investigations into policy breaches and assist in policy development.

Benefits

  • Comprehensive healthcare coverage including medical, dental, and vision.
  • Retirement savings plan with company match.
  • Generous paid time off and holiday schedule.
  • Access to professional development programs and training.
  • Opportunities for career advancement within a prestigious firm.
Full Job Description
Job Description

Job Duties: Associate, Regulatory Compliance with Goldman Sachs Services LLC in Salt Lake City, Utah. Serve as a primary technical liaison, collaborating directly with multiple business teams to provide daily operational support, and address ad-hoc requests, ensuring seamless business operations. Lead strategic planning for quarterly engineering activities, aligning technical initiatives with evolving regulatory requirements and business objectives. Escalate situations to relevant divisional compliance officers and business unit managers. Drive significant improvements in business process efficiency and automation through the design, creation, and management of Alteryx workflows. Produce metrics for management and divisional compliance reporting based on KPI/KRI requirements. Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements. Conduct investigations to identify policy breeches. Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations. Assist in the development of controls and system enhancements to improve the firm's compliance program.

Job Requirements: Master's degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Computer Science, Information Technology, or a related field and one (1) year or experience in the job offered or in a related role OR Bachelor's degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Computer Science, Information Technology, or a related field and three (3) years of experience in the job offered or in a related role. Prior experience must include one (1) year (with a Master's degree) OR three (3) years with a Bachelor's degree with the following: understanding of the current regulatory environment and financial markets, including personal trading and disclosure requirements; utilizing Alteryx or Tableau to develop workflows that increase automation and efficiency across business processes; working with internal stakeholders to ensure regulatory requirements are met and compliance processes and systems operate effectively and are properly maintained; orally presenting findings to senior stakeholders in the areas being reviewed, including clearly articulating the fact-patterns, risk(s), and potential next steps for remediation; drafting written findings to articulate fact patterns, identify associated risks, and summarize remediation steps; and utilizing analytical, organizational, and project management skills to track and document business requirements, ensure milestone delivery, support User Acceptance Testing (UAT), and coordinate final product delivery.

About The Goldman Sachs Group, Inc

The Goldman Sachs Group, Inc. provides investment banking, securities, and investment management services, as well as financial services to corporations, financial institutions, governments, and high-net-worth individuals worldwide. Its Investment Banking segment offers financial advisory services, including advisory assignments concerning mergers and acquisitions, divestitures, corporate defense, risk management, and restructurings and spin-offs; and underwriting services comprising public offerings and private placements of a range of securities, loans, and other financial instruments, and derivative transactions. The company’s Institutional Client Services segment provides client execution services, such as fixed income, currency, and commodities client execution related to making markets in interest rate products, credit products, mortgages, currencies, and commodities; and equities related to making markets in equity products, as well as executes and clears institutional client transactions on stock, options, and futures exchanges. This segment also engages in the securities services business providing financing, securities lending, and other brokerage services to institutional clients, including hedge funds, mutual funds, pension funds, and foundations. Its Investing and Lending segment originates longer-term loans; and invests in debt securities, loans, public and private equity securities, real estate, consolidated investment entities, distressed assets, currencies, commodities, and power generation facilities. The company’s investment management segment provides investment products and services, as well as offers wealth advisory services, including portfolio management and financial counseling, and brokerage and other transaction services.

The Goldman Sachs Group, Inc. Careers

Join the prestigious team at The Goldman Sachs Group, Inc., a global leader in finance and investments, and propel your career to new heights. Our firm is renowned for its commitment to excellence, innovation, and leadership in the financial sector.

Work You’ll Do

At Goldman Sachs, you will be part of a dynamic environment that fosters growth, diversity, and professional development. Engage in transformative projects that redefine the landscape of global finance, driven by a culture of high performance and continuous improvement.

Lead with Innovation and Leadership

Step into a role where your skills will be honed and your leadership capabilities enhanced. The Goldman Sachs Group, Inc. is at the forefront of merging financial expertise with technological innovation, creating a platform for you to lead impactful initiatives.

Join Our Diverse and Inclusive Team

Diversity and inclusion are at the core of our company culture. With employees from various backgrounds, Goldman Sachs thrives on the rich ideas and perspectives that this diversity brings. Here, every team member’s contribution is valued, and every voice is heard.

Explore Job Opportunities and Internships

Whether you’re seeking full-time employment or looking into internship opportunities, Goldman Sachs offers a range of positions that cater to different skills, experiences, and career aspirations. From analyst to executive positions, discover how you can contribute to our legacy of success.

Networking and Professional Growth

Goldman Sachs is not just a workplace. It is a community where you can build lasting relationships with colleagues and industry leaders. Our networking events, mentorship programs, and professional groups foster connections that can accelerate your career trajectory.

Benefits and Career Development

Invest in your future with Goldman Sachs’ unparalleled employee benefits and career development programs. From comprehensive health benefits to personalized career coaching and leadership training, we ensure that our team is equipped for success, both professionally and personally.

Prepare for Your Future

Ready to take the next step? Prepare your resume, sharpen your interview skills, and explore the vast array of job opportunities at The Goldman Sachs Group, Inc. Our hiring process is designed to identify and nurture talent, helping you to achieve your career goals.

Stay Connected

Keep up to date with the latest from Goldman Sachs Careers by subscribing to our job alert emails. Tailor your preferences to receive updates that match your career interests and stay ahead in the competitive financial sector.

Join The Goldman Sachs Group, Inc.

Embark on a rewarding journey with The Goldman Sachs Group, Inc. where your potential is limitless. Explore positions, read about our company culture, and apply today to become part of a team that values growth, leadership, and innovation.

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At The Goldman Sachs Group, Inc., your career is just the beginning – it’s an opportunity to excel and lead in the global financial industry. Join us and make your mark!
Learn more about The Goldman Sachs Group, Inc
Size
45,100 employees
Market Cap
$115.8 billion
Industry
Net Income
$9.4 billion
Founded
1869
5 Year Trend
+11.3%
Revenue
$53.4 billion
NASDAQ

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