Goldman Sachs
Global Banking & Markets-Salt Lake City-Senior Associate-Regulatory Due Diligenc
Goldman Sachs, Salt Lake City, Utah, United States, 84193
Overview
Regulatory Due Diligence is looking for a motivated leader to join our Salt Lake City team. The core workflow involves coordinating with Global Banking and Markets, Compliance and Legal divisions to facilitate an excellent client onboarding experience and mitigate risks related to regulatory requirements and documentation of related transactions. The role focuses on reviewing documentation related to global financial regulatory obligations and approving new relationships for the global Institutional Franchise and Clearing businesses. The individual will work with internal partners, clients, and sales in a fast-paced environment with precision and accuracy, lead and motivate team members, work cross-functionally for process and procedure solutions, and manage escalations. The ability to prioritize, meet deadlines, and communicate to all levels of the organization (including Sales, Legal and Compliance) is critical. Global Banking & Markets – Public spans all product lines and markets, developing processes and controls to deliver accuracy, timeliness and integrity to the business. Global Banking & Markets – Public provides essential risk management and control to preserve and enhance the firm’s assets and reputation. Responsibilities
The Regulatory Due Diligence team conducts regulatory adherence checks for counterparties trading with Goldman Sachs to ensure all parties meet compliance obligations and other regulatory requirements. Support both new client onboarding and ongoing client maintenance/data quality. Engage Business, Compliance, Credit, Legal and Operations stakeholders to ensure effective onboarding of clients. Understand the regulatory environment, identify risk, escalate concerns, and protect the firm and clients. Prioritize, meet deadlines, and communicate to all levels of the organization. Use critical thinking to balance tight control requirements with service demands of internal clients. Support and execute ongoing project initiatives including new regulatory requirements and new business markets. Qualifications (Skills & Experience)
Bachelor’s degree Critical thinking / thought leadership / ability to suggest improvements and identify risk Service orientation, sense of urgency, ability to manage internal clients’ expectations, follow-through and professionalism Teamwork oriented with strong interpersonal skills Detail oriented Ability to multi-task and prioritize Strong verbal and written communication Technical expertise in Microsoft Office (Word, Excel) and proficiency with web-based applications Ability to collaborate with Legal & Compliance teams to create solutions for clients Preferred Qualifications
3 to 5 years work experience with prior management responsibilities Experience with major regulators such as CFTC/SEC/NFA is a plus Proactive, enthusiastic, and team oriented Ability to remain composed under pressure Ability to prioritize and make decisions in a fast-paced environment Accuracy and attention to detail Strong client service orientation Strong written and verbal communication skills Adapt to new changes and challenges Strong analytical skills Well-developed organizational skills Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales
#J-18808-Ljbffr
Regulatory Due Diligence is looking for a motivated leader to join our Salt Lake City team. The core workflow involves coordinating with Global Banking and Markets, Compliance and Legal divisions to facilitate an excellent client onboarding experience and mitigate risks related to regulatory requirements and documentation of related transactions. The role focuses on reviewing documentation related to global financial regulatory obligations and approving new relationships for the global Institutional Franchise and Clearing businesses. The individual will work with internal partners, clients, and sales in a fast-paced environment with precision and accuracy, lead and motivate team members, work cross-functionally for process and procedure solutions, and manage escalations. The ability to prioritize, meet deadlines, and communicate to all levels of the organization (including Sales, Legal and Compliance) is critical. Global Banking & Markets – Public spans all product lines and markets, developing processes and controls to deliver accuracy, timeliness and integrity to the business. Global Banking & Markets – Public provides essential risk management and control to preserve and enhance the firm’s assets and reputation. Responsibilities
The Regulatory Due Diligence team conducts regulatory adherence checks for counterparties trading with Goldman Sachs to ensure all parties meet compliance obligations and other regulatory requirements. Support both new client onboarding and ongoing client maintenance/data quality. Engage Business, Compliance, Credit, Legal and Operations stakeholders to ensure effective onboarding of clients. Understand the regulatory environment, identify risk, escalate concerns, and protect the firm and clients. Prioritize, meet deadlines, and communicate to all levels of the organization. Use critical thinking to balance tight control requirements with service demands of internal clients. Support and execute ongoing project initiatives including new regulatory requirements and new business markets. Qualifications (Skills & Experience)
Bachelor’s degree Critical thinking / thought leadership / ability to suggest improvements and identify risk Service orientation, sense of urgency, ability to manage internal clients’ expectations, follow-through and professionalism Teamwork oriented with strong interpersonal skills Detail oriented Ability to multi-task and prioritize Strong verbal and written communication Technical expertise in Microsoft Office (Word, Excel) and proficiency with web-based applications Ability to collaborate with Legal & Compliance teams to create solutions for clients Preferred Qualifications
3 to 5 years work experience with prior management responsibilities Experience with major regulators such as CFTC/SEC/NFA is a plus Proactive, enthusiastic, and team oriented Ability to remain composed under pressure Ability to prioritize and make decisions in a fast-paced environment Accuracy and attention to detail Strong client service orientation Strong written and verbal communication skills Adapt to new changes and challenges Strong analytical skills Well-developed organizational skills Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales
#J-18808-Ljbffr