Associate - COMP6262975

Job Description

Job Duties: Associate with Goldman Sachs & Co. LLC in Salt Lake City, UT. Utilize the firm's systems and knowledge of the firm's risk appetite on a day-to-day basis to review and approve requests for employees' private investments and participation in outside activities. Provide guidance to the firm's employees on appropriate interpretation and application of policies/procedures related to private investments and outside activities. Apply analytical, organizational, and project management skills to maintain a high-volume workflow and turn around requests in a timely manner. Assist in clearing exceptions in the firm's annual employee compliance certification process, including reviewing and certifying the disclosure of all employees' private investments and outside activities. Work with the firm's technology colleagues to define system enhancements and improvements for the various platforms utilized by the team. Deny or approve employee requests, and escalate nuanced situations, as appropriate, to relevant managers, divisional compliance officers, and business unit managers. Ensure that employees' requests comply with regulatory requirements and adhere to firm policies and industry best practices. Participate in responding to internal and regulatory audits around employees' outside activities and private investments as they arise.

Job Requirements: Bachelor's degree (U.S. or foreign equivalent) in Finance, Accounting, Management, Law or related field in business or law. Two (2) years of experience in the job offered or in a related role. Must have two (2) years of prior experience with: compliance within the financial services sector; applying understanding of the current regulatory environment and financial markets and/or securities regulation and rules, including FINRA 3270 and FINRA 3280 or similar regulations; Microsoft Excel, Power Point, and Word; writing summaries for management and hosting conference calls with managers to present on and propose solutions to complex compliance issues; defending compliance-related decisions and analyses orally and in writing to business stakeholders and employees, including senior employees; and utilizing compliance technology systems and partnering with engineering teams to make system enhancements.

©The Goldman Sachs Group, Inc., 2022. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity.