Compliance - Salt Lake City - Vice President, Business Unit Compliance- 10076305

Job Duties

• Vice President, Business Unit Compliance with Goldman Sachs & Co. LLC in Salt Lake City, Utah.
• Lead regional execution team of investigators of insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts.
• Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training to assess the firm’s compliance, regulatory, and reputational risk.
• Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new or existing automated surveillance models and output.
• Research market-moving events, develop market color, and analyze trading activity to support investment recommendations.
• Leverage data analytics tools to track, analyze and report on key operational metrics.
• Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Investment Banking segments.
• Coincide with the Financial Crime Compliance group globally on trading-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR).
• Monitor to ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
• Participate in and lead working groups that focus on enhancing the controls and quality of the trade surveillance program.
• Identify enhancements to existing controls.
• Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.

Job Requirements

• Bachelor’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Legal Studies, Human Resources, Management or a related business discipline and five (5) years of experience in the job offered or in a related role.
• Prior experience must include five (5) years of experience with the following: compliance, surveillance, or internal audit experience within the financial service industry; applying knowledge of regulatory framework to proactively identify compliance risks and propose solutions; identifying control framework deficiency and proposing solutions to mitigate the deficiency; and communicating (both written and verbal) recommendations related to compliance controls to management and internal and external stakeholders to work towards a consensus-driven solution.
• Prior experience must include three (3) years of experience with the following: applying expertise in securities markets and businesses and products, such as equities, derivatives, fixed income, commodities, and currencies as it applies to compliance and/or regulatory risks to review surveillance alerts for disposition or escalation; detection logic and surveillance development; working independently within a surveillance and monitoring team including experience handling multiple tasks simultaneously, managing stakeholders’ expectations, and working under tight deadlines; and utilizing analytical and problem-solving skills to review and disposition alerts, escalation issues to respond to regulatory inquiries.
• Prior experience must include two (2) years of experience with the following: applying expertise of applicable capital markets regulations as it applies to market manipulation to review surveillance alerts for disposition or escalation.