24 Compliance, E-Communications Compliance, Vice President, Salt Lake City Jobs in Salt Lake, UT
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Compliance, E-Communications Compliance, Vice President, Salt Lake City
$68k-85k (estimate)
Full Time | Banking
1 Day Ago
Goldman Sachs is Hiring a Compliance, E-Communications Compliance, Vice President, Salt Lake City Near Salt Lake, UT
Job DescriptionGlobal ComplianceOur 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.
Communication Compliance Surveillance Job DescriptionThe Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains a global presence.
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
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
Communication Compliance Surveillance Job DescriptionThe Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains a global presence.
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 strategic projects
- 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
- 6 years’ experience, preferably in the financial services industry
- Proficiency in project or program management
- 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
- Ability to manage multiple projects
- 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
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
Job Summary
JOB TYPE
Full Time
INDUSTRY
Banking
SALARY
$68k-85k (estimate)
POST DATE
06/29/2024
EXPIRATION DATE
07/25/2024
WEBSITE
goldmansachs.com
HEADQUARTERS
CHICAGO, IL
SIZE
>50,000
FOUNDED
1869
CEO
JOHN COBLENTZ
REVENUE
>$50B
INDUSTRY
Banking
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