Compliance, Financial Crime Controls (Fcc)- Sar, Associate, Richardson TX / Salt Lake City

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's 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 firm's 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.

Financial Crime Compliance - Suspicious Activity Report Team (SAR)

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.

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

The Goldman Sachs Group, Inc., 2023. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity