Friday, December 6, 2013

Goldman Sachs: 2014 Compliance Summer Analyst Opportunities, Salt Lake City

Job Information

Date Posted: 12/02/13 
Period of Employment: Summer 
Pay Type: Paid 
Opportunity Type: Internship 

Description & Details

Location: Salt Lake City, Utah
Industry: Finance/Banking - Investment Banking

Job Function: Finance


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 that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

Global Compliance advises and partners with the firm's businesses to ensure compliance with applicable laws, rules and regulations. Global Compliance is dedicated to protecting the reputation of the firm and managing risk. The major functions performed by Global Compliance include providing advice to the business, testing, monitoring, regulatory reporting, training, surveillance, managing regulatory audits and inquiries, and developing and implementing policies and procedures. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance interacts with more than 150 regulatory bodies in over 30 countries. We monitor trends and changes in regulations in all jurisdictions in which the firm does business and share information and collaborate with regulators to manage financial market risk. On a daily basis, Global Compliance personnel work closely with management and professionals from investment banking, investment management, sales, trading, capital markets, syndicate, research, credit analysis, legal, operations, systems and electronic commerce.
Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups, each with firmwide responsibilities. Compliance functions are located in each major region, including New York, London, Tokyo and Hong Kong.

As a Full Time Analyst in Global Compliance, your responsibilities may include:
  • Interacting closely with line professionals globally and assisting them with compliance matters requiring real-time judgment and strong familiarity with business and trading practices
  • Providing trade surveillance
  • Monitoring compliance with firm wide and divisional employee trading policies
  • Assisting in customer suitability, due diligence, and account-opening matters
  • Working with the Legal Department to advise the business units on regulatory requirements and interpretation and application of rules and regulations
  • Monitoring information barrier (Chinese Wall) and insider trading-related matters, including wall crossings, employee trading and investing, Restricted Trading and other related lists, and the release of research that may have Chinese Wall related issues
  • Working closely with supervisors and the Legal Department in investigating and resolving customer complaints and compliance incidents, as well as helping to develop new procedures in response to incidents
  • Participating in responses to regulatory audits
  • Working with the Legal Department on internal investigations and responses to regulatory inquires
  • Preparing regulatory reports and overseeing trade reports
  • Ensuring that our professionals secure and maintain proper licensing, and ensuring they fulfill ongoing obligations to meet their continuing education requirements
  • Assisting in the training of business unit professionals in securities laws, regulations, and firm policies; assist in the development and writing of policies, procedures and best practices for each business unit
  • Strong analytical and organizational skills
  • Excellent interpersonal and communication skills; the ability to clearly articulate ideas
  • Highly motivated and adaptable; the ability to work on a team of diverse individuals
  • Proactive inquisitive, and responsive; the ability to identify and solve problems creatively and quickly in a fast-paced, dynamic environment
  • Accurate and detail-oriented with sound judgment and integrity

1. Submit Resume to Erecruiting: Erecruiting
2. Complete the Goldman Sachs Apply On-Line application at may express interest in up to two divisions through this application, and may also preference up to two regions.
Goldman Sachs, an equal opportunity employer, does not discriminate in employment on any basis that is prohibited by federal, state or local laws.

Contact Information:
Kris Thomas | TMS - Campus Support
222 South Main Street
Salt Lake City, Utah  84101
Phone: (917) 343-9726

Desired Graduation Month (if interviewing seniors): 
April 2015, April 2016, August 2015, December 2014, December 2015, June 2015, June 2016

Applications for this position are being accepted between 
12/02/13 and 1/30/14.

1 comment:

  1. I know The Goldman Sachs Group, Inc. is a leading global investment banking system. So we can copy there rules.compliance hong kong