Compliance-Salt Lake City-Associate, Regulatory Compliance-4005905

Job description

Job Duties: Associate, Regulatory Compliance with Goldman Sachs Bank USA in Salt Lake City, Utah. Execute the Compliance Testing Group’s (“CTG”) mandate to investigate whether activities and practices are in compliance with policies and regulations (CFTC and Futures Exchanges rules) and the firm’s Compliance Control infrastructure. Propose methods of testing and execute test plans (“reviews”) that have been discussed and agreed upon with a team manager, including gathering data, performing analyses, and documenting results. Handle multiple reviews concurrently, including driving the reviews through each phase of the review life cycle including planning, scoping, testing, socialization of results, or tracking finding remediations. Coordinate interactions with senior members of the firm, including in Compliance, the firm’s businesses, and Engineering, to address review follow-ups, socialize findings, and track and review finding remediations. Identify potential compliance, conduct, and reputational issues such as control gaps/deficiencies, employee misconduct presenting compliance and/or regulatory risk, and escalate. Work with CTG’s global team to share findings on compliance or reg...