Compliance Division, Compliance Testing Group, Associate, Salt Lake City

The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base, including corporations, financial institutions, governments, and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

About the role

Global Compliance prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm and helps strengthen the firm’s culture of compliance. As part of the firm’s second line of defense, Compliance assesses risk, monitors for compliance with laws and regulations, designs controls, conducts testing, and leads responses to regulatory examinations and inquiries.

The Compliance Testing Group (“CTG”) is seeking a self-starter with energy, curiosity, and enthusiasm to conduct investigative work covering the firm’s businesses and divisions. CTG’s global team (Dallas, New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, Hong Kong) includes former auditors, accountants, regulators, compliance professionals, lawyers, and traders. The role involves creating and executing detailed testing to assess compliance with regulations and firm policies, identifying risks, and refining controls.

Responsibilities

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct, and reputational risks, and escalate to appropriate individuals
• Multi-task work on several different reviews with different individuals simultaneously
• Leverage strong communication skills to interact with Compliance and business senior management
• Collaborate with global colleagues to share findings and refine processes

Requirements

• Bachelor’s Degree
• Broad knowledge of financial products and markets, as well as laws, rules, and regulations (e.g., FINRA and SEC rules)
• Excellent interview, presentation, written communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm

Preferred Qualifications

• Compliance, auditing, testing (e.g., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience
• Experience in the financial services industry (e.g., investment manager, broker-dealer, law firm, accounting firm, or regulator)
• Familiarity with Business Intelligence and AI tools
• Fluency in French, Portuguese, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese

Benefits

Goldman Sachs supports professional and personal growth through collaborative workspaces, ergonomic services, wellbeing and resilience offerings, and flexibility to reach goals in and outside the office. The firm offers training and development opportunities, firmwide networks, wellness programs, and mindfulness initiatives.

The firm is committed to fostering diversity and inclusion and provides reasonable accommodations for candidates with disabilities during the recruiting process.