Vice President

JOB DESCRIPTION

Job Duties: Vice President with Goldman Sachs & Co. LLC in Salt Lake City, Utah. Vice President within Global Market Compliance. Global Market Compliance prevents, detects, and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Within Global Markets, the Securities Monitoring and Surveillance team (”SMS”) provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses. Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training to assess the firm’s compliance, regulatory, and reputational risk. Perform surveillance reviews and discuss exceptions with Business Personnel and Compliance Officers. Managerial responsibilities for the Salt Lake City – Americas team. Train new employees on market risk, individual surveillance reports, and the Surveillance and Monitoring Operating Model. Plan and perform ad-hoc compliance projects, including the adjustment of resources to meet deadlines. Monitor to ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective. Identify enhancements to existing controls. Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results. Participate in periodic risk assessments. Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products, and regions. Coordinate issues, findings, and practices with colleagues across regions and/or divisions.

Job Requirements: Master’s or Bachelor’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Legal Studies, Human Resources, Management, or a related business discipline. Three (3) years of experience with a Master’s degree or five (5) years of experience with a Bachelor’s degree in the job offered or a related financial services role. Must have three (3) years of experience with Master’s degree or five (5) years of experience with a Bachelor’s degree with: compliance, surveillance, or internal audit within the financial service industry; applying knowledge of regulatory framework to proactively identify compliance risks and propose solutions; identifying control framework deficiency and proposing solutions to mitigate the deficiency; communicating (both written and verbal) recommendations related to compliance controls to management and internal and external stakeholders and working towards a consensus-driven solution; and working with a variety of senior and junior colleagues in various geographical locations and various functional groups within a firm to build working relationships that allow for a deepened understanding of business and engineering requirements for control development and implementation. Must have three (3) years of experience with: applying expertise in securities markets and businesses and products, such as equities, derivatives, fixed income, commodities, and currencies as it applies to Compliance and/or Regulatory Risks to review surveillance alerts for disposition or escalation; detection logic and surveillance development; working independently within a surveillance and monitoring team including experience handling multiple tasks simultaneously, managing stakeholders’ expectations, and working under tight deadlines; and utilizing analytical and problem-solving skills to review and disposition alerts, escalation issues to respond to regulatory inquiries. Must have two (2) years of experience with: applying expertise of Regulation W and applicable FINRA, SEC and CFTC regulations as it applies to market manipulation to review surveillance alerts for disposition or escalation.

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