Compliance, E-Communications, Vice President, Salt Lake City

Goldman Sachs•Salt Lake, UT

2d•Onsite

About The Position

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains a global presence. 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. FCC Communications Team The successful candidate will be responsible for reviewing the electronic and voice communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Requirements

6+ years’ experience, preferably in the financial services industry
Proficiency in project or program management
Prior document and/or e-discovery review experience a plus
Strong interpersonal skills, including the ability to collaborate and work as a team
Attention to detail and strong follow-up skills
Additional language skills preferred
Excellent oral and written communications skills
Excellent problem solving skills with the ability to exercise sound and balanced judgment
Ability to handle multiple tasks simultaneously and work under pressure
Ability to juggle competing priorities and stakeholder concerns
Ability to manage multiple projects
MS Office tools such as Outlook, Word, and Excel skills including creating pivot tables, and running formulas.
Knowledge of data manipulation and visualization techniques would be a plus

Responsibilities

Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
Identify, document and resolve potential regulatory/compliance issues
Partner with Business Aligned Compliance and generate and review monthly reporting summaries on issues identified
Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of communications
Design, testing, and maintenance of communication surveillances
Assist with strategic projects
Assist with managing the firm’s communication retention framework, including: In partnership with Legal, evaluate potential surveillance requirements for communication functionalities within applications
Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications
Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms