Compliance- Salt Lake City, Utah - Associate, Regulatory Com

GOLDMAN, SACHS & CO. • Salt Lake City, UT • 23h ago

Job Duties: Associate, Regulatory Compliance with Goldman Sachs and Co. LLC in Salt Lake City, Utah. Responsible for Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and National Futures Association (NFA) registration matters and filings for Firm personnel. Providing consultations on registration requirements; validating internal and external regulatory compliance data, actioning as needed, and coordinating with divisional stakeholders; enhancing and/or automating existing compliance processes; and publishing key workflows, developing test cases, and documenting processes. Monitor and assist with various processes and provide guidance to internal clients on the appropriate interpretation and application of Firm policies and procedures. Responsible for generating reports that cover registrations-related matters, as well as for analyzing large registrations datasets from internal and external (regulators') systems, which will require the utilization of Excel. Provide accurate reporting of overdue and outstanding regulatory registrations actions, which requires generating reports and analyzing the underlying data. Support teams throughout Compliance on various employee-related compliance matters.

Job Requirements: Bachelor's degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Information Technology, or a related field and five (5) years of experience in the job offered or a related role. Prior work experience must include three (3) years of experience with each of the following: applying knowledge of rules-based framework to proactively identify risks and propose solutions and mitigate deficiencies; working within a team, communicating industry requirements and firm expectations to stakeholders, including deadlines, stakeholder obligations, and systems instructions; communicating (both written and verbal) recommendations related to compliance controls to management and internal stakeholders and working towards a consensus-driven solution; working with a variety of senior and junior colleagues in various geographical locations and various functions, including Compliance, Engineering, and Business-side personnel to communicate regulatory requirements to current and new activities on the business side; analyze large datasets from internal and external systems; presenting and providing verbal and written reporting and metrics to senior management and responding to other ad hoc requests from stakeholders, including requests from internal audit, line compliance, and/or regulators; defending (orally and in writing) compliance-related decisions and analyses to business stakeholders and employees; experience learning new technologies and partnering with Technology to make system enhancements; utilizing MS Office tools, such as Excel, to create pivot tables, running formulas, and macros; and utilizing project, data, and report management software like JIRA, Tableau, or Alteryx to generate or update consumables for stakeholders.

The Goldman Sachs Group, Inc., 2025. 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, veteran status, disability, or any other characteristic protected by applicable law.

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