Compliance, FCC - KYC, Associate

Location(s)

US-UT-Salt Lake City

MORE ABOUT THIS JOB

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.

RESPONSIBILITIES AND QUALIFICATIONS

The Know Your Customer/Enhanced Due Diligence team within the Anti-Money Laundering Suspicious Activities Group is seeking an analyst/associate, ideally with prior brokerage and / or other financial industry experience. The analyst/associate will conduct enhanced due diligence on high-risk customer relationships to identify potential legal, regulatory or reputational risk. The ideal candidate would have strong analytical skills, the ability to collaborate with others, the ability to manage projects and processes, and the ability to multi-task. In this role, the analyst/associate will work closely with compliance, operations, technology and business personnel, and would be expected to quickly gain an understanding of the firm's businesses and the rules and regulations under which the firm operates.

Principal Responsibilities:

Conduct enhanced due diligence on high-risk customers of the firm's various business divisions to identify potential legal, regulatory or reputational risk
• Provide guidance to the client onboarding teams and/or the business on anti-money laundering related matters


• Work on anti-money laundering related projects

Preferred Qualifications:

• Ability to work independently and in team-oriented workflows


• Strong analytical and risk assessment skills


• Excellent written and verbal communication skills


• Ability to prioritize work flows and ensure deadlines are met


• Ability to forge strong relationships with colleagues and clients


• Proactive, self-motivated, detail-oriented and well-organized


• Prior brokerage experience with knowledge of the securities industry and products


• Prior compliance experience - prior AML experience would be a bonus


• One year + of experience preferred

ABOUT GOLDMAN SACHS

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.

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 atGS.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., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity