Compliance, Employee Services, Associate, Salt Lake City

Goldman Sachs•Salt Lake City, UT

2d•Onsite

About The Position

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 Licensing Compliance Team is responsible for the maintenance and monitoring of U.S. mortgage, consumer lending and commercial lending licenses. This includes assisting with license applications and renewals, regulatory reporting to both state and federal regulators, and state examinations. An opportunity exists within the team for a Senior Analyst/Associate. The individual will work closely with business teams, Legal, Divisional Compliance and other members of GCES in all aspects of ensuring the accuracy of the firm's licensing obligations.

Requirements

2+ years of experience in Compliance, Licensing, Regulatory Reporting, Legal, Risk Management, Audit, Financial Services Operations, or a related field.
Familiarity with mortgage and consumer lending products or the NMLS registration process is a plus
Strong analytical, organizational, problem-solving and project management skills.
Detailed-oriented with a strong commitment to excellence
Ability to work independently and manage multiple deadlines and priorities
Excellent verbal and written communication skills
Experience analyzing and reconciling large data sets to ensure data accuracy and reporting
Proficiency in Microsoft Excel, Word, and PowerPoint and other data software such as ALteryx

Responsibilities

Interpret lending laws and regulations
Assist with license applications, renewals, amendments, and surrender activities
Prepare and coordinate regulatory reports and filings submitted to state and federal regulators.
Work with large data sets to create both internal and external regulatory reporting
Advise internal stakeholders on licensing requirements
Draft and maintain respective policies and procedures and identify opportunities to improve processes, controls and reporting.
Liaise with Legal, Divisional Compliance, and Business teams on reporting obligations
Coordinate and manage regulatory examinations.
Work on other projects and assignments as needed.