Job Duties:Vice President, Business Unit Compliance with Goldman Sachs & Co. LLC in Salt Lake City, Utah. Responsible for maintaining a framework and monitoring key deliverables for the surveillance and monitoring program that enables the group to meet all deliverables by drafting and preparing risk and functional specification documents and preparing surveillance approval documents and procedures and presenting the new and modified surveillances for committee approval. Ensure surveillances are closed timely for the US surveillances. Plan and track goals and milestones for the year, track and ensure timely remediation of audit and internal testing team findings and track various aspects of the Firm’s surveillance lifecycle such as procedure reviews and management oversight. Track inquiries and enforcement actions alongside regional managers to perform gap analysis and lead new initiatives within Private Wealth Management (PWM) to ensure that projects are successfully delivered by understanding the scope of each project and agreed upon milestones, and to finalize timelines with business heads, including senior Compliance leadership and Compliance Engineering. Perform testing on the infrastructure, data quality, and logic, and provide feedback prior to the launching as well as track, communicate, and publish progress updates to senior Compliance leadership. Manage a team of individuals conducting surveillance within Compliance function.
Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Management, or a related field and seven (7) years of experience in job offered or a related role. Requires one (1) year of experience with: compliance surveillance and monitoring experience within the financial services industry; experience implementing and rolling out new surveillances and controls within the financial services industry; experience training more junior individuals on surveillances and controls; experience reviewing alerts for disposition or escalation to assess for compliance or regulatory risks and enhancing detection logic and surveillance development; and communicating (both written and verbal) compliance controls recommendations to management and both internal and external stakeholders.
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