Compliance, Employee Services, Regulatory Reporting, Sr. Analyst / Associate, SLC

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.

Global Compliance Employee Services (GCES)  is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees’ outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities. Within GCES, the Regulatory Reporting team is responsible for regulatory filings with U.S. regulators. This includes evaluation of regulatory disclosure requirements and analysis of potentially reportable events, along with preparation and submission of regulatory filings. 

An opportunity exists within the team for a Senior Analyst/Associate. The individual will work closely with Legal, Divisional Compliance and other members of GCES in all aspects of ensuring the accuracy of the firm's registration filings. 

Responsibilities 

• Interpreting securities laws regulations 
• Reviewing disciplinary matters for purposes of reporting to various regulators 
• Active monitoring and data surveillance to identify reportable events 
• Drafting disclosure language and preparation of regulatory filings 
• Advising other internal stakeholders on reporting requirements 
• Drafting and maintaining respective policies and procedures 
• Liaise with Legal, Divisional Compliance, and Business teams on events for reporting 
• Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers 

Qualifications

• Two years of compliance or legal-related experience preferred 
• Possess a general understanding of the current regulatory environment and financial markets 
• Detailed-oriented with a strong commitment to excellence 
• Ability to work independently and exercise sound and balanced judgement 
• Ability to multi-task and work under pressure 
• Superior analytical, organizational, and project management skills 
• Excellent verbal and written communication skills 

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 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