Compliance, Suspicious Activity Report (SAR) Team, Associate
Posted on: 19 Feb 2021
Salt Lake City, UT
Job Description
MORE ABOUT THIS JOB
GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.
Goldman Sachs Suspicious Activity Report (SAR) Team
RESPONSIBILITIES AND QUALIFICATIONS
The Suspicious Activity Report Team within Financial Crime Compliance is seeking an associate with prior brokerage or other financial industry experience. The role would entail reviewing and documenting potential instances of suspicious activity, drafting suspicious activity reports to be filed with FinCEN, and responding to inquiries from regulators and law enforcement. The ideal candidate would have strong investigative skills, a background in the financial sector, the ability to collaborate with others, and prior compliance experience.
Principal Responsibilities:
* Review potentially suspicious activity for SAR consideration
* Draft and file SARs with FinCEN
* Respond to inquiries from regulators and law enforcement
Basic Qualifications:
* Prior brokerage experience with extensive knowledge of financial markets and products.
* Prior compliance experience is preferable, prior AML experience is a plus.
* Strong analytical and risk assessment skills.
* Ability to adapt to new changes and new challenges.
* Ability to prioritize work flows and ensure deadlines are met.
* Ability to forge strong relationships with colleagues and clients.
* Ability to work independently and yet still be team-oriented.
* Excellent written and verbal communication skills.
* Proactive, self-motivated, detail oriented, and well-organized.
Goldman Sachs
New York, New York
The Goldman Sachs Group, Inc. operates as an investment banking, securities, and investment management company worldwide. It operates in four segments: Investment Banking, Institutional Client Services, Investing & Lending, and Investment Management. The Investment Banking segment provides financial advisory services, including strategic advisory assignments related to mergers and acquisitions, divestitures, corporate defense activities, restructurings, spin-offs, and risk management; and underwriting services, such as debt and equity underwriting of public offerings and private placements of various securities and other financial instruments, as well as derivative transactions with public and private sector clients.
The Institutional Client Services segment is involved in client execution activities related to making markets in cash and derivative instruments for interest rate products, credit products, mortgages, currencies, commodities, and equities; and provision of securities services comprising financing, securities lending, and other brokerage services, as well as the marketing and clearing of client transactions on various stock, options, and futures exchanges.
The Investing & Lending segment invests in and originates longer-term loans; and makes investments in debt securities and loans, public and private equity securities, and infrastructure and real estate entities, as well as provides unsecured and secured loans through its digital platforms. The Investment Management segment offers investment management services; and wealth advisory services consisting of portfolio management, financial planning and counseling, and brokerage and other transaction services. The company serves corporations, financial institutions, governments, and individuals. The Goldman Sachs Group, Inc. was founded in 1869 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees35,900
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Website
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Jobs Posted925
