Goldman Sachs
Compliance, Markets Surveillance, Associate, Salt Lake City
Salt Lake City, UT, United States
Sponsorship not specifiedDetected 2 days ago
StatisticsComplianceProject ManagementAccountingCommunicationPublic SpeakingOrganizational Skills
About the role
- 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.
- We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Responsibilities
- Lead divisional coordination of the Market Abuse Risk Assessment (MARA) including working closely with various internal teams (including but not limited to MSC surveillance teams, Line Compliance and Engineering), to ensure relevant risk factors are continuously updated and monitored in the MARA.
- Perform risk assessment analysis, including but not limited to, documentation of Inherent Risk, Control Suite and Residual Risk rationales through internal systems.
- Lead monthly calls with Line Compliance and MSC stakeholders to review MARA change management analysis.
- This may include performing an analysis of the risk and proposing logic/detection criteria that is reasonably designed to detect it.
- Perform management reporting on a weekly, monthly and quarterly basis.
- Strive to create a consistent approach across businesses, products and regions, as appropriate.
- (i) Risk Assessment, (ii) Design & Development and (3) Investigate & Escalate to develop and enhance detective controls for market abuse risks.
- MSC performs surveillance alert reviews and maintains oversight of such controls to ensure the continuing effectiveness of those controls.
Requirements
- We believe who you are makes you better at what you do.
Benefits
- Work with other stakeholders (including Line Compliance and the business) on defining new/improved scenarios and/or efficiency opportunities to further enhance automated surveillance coverage as appropriate.
Company info
- Founded in 1869, we are a leading global investment banking, securities and investment management firm.
Equal opportunity
- https://www.goldmansachs.com/careers/footer/disability-statement.html © The Goldman Sachs Group, Inc., 2023.
- All rights reserved.
- Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
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