Vice President - 7675162

Job Duties

Vice President with Goldman Sachs & Co. LLC in Salt Lake City, Utah. Develop and maintain a governance framework to monitor key deliverables and milestones for the program that enables the leadership to effectively drive the strategy.

Periodic monitoring and publishing of key performance metrics and risk indicators to track trends and patterns across alerts, cases, and escalations from the program.

Develop and / or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products, and regions.

Designing and creating presentations to effectively communicate the program highlights to senior leadership and evidencing of governance and submission of documentation for exchange inquiries and regulatory exams.

Participate in development and testing of compliance applications and identify training needs for the end users and partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and / or enhance system controls, surveillances and associated procedures and training to assess the firm’s compliance, regulatory, and reputational risk.

Monitor to ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective. Perform surveillance reviews and discuss exceptions with business personnel and compliance officers.

The following information aims to provide potential candidates with a better understanding of the requirements for this role.

Job Requirements

Bachelor’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Legal Studies, Human Resources, Management, or a related business discipline.

Employer will accept bachelor's degree equivalent based on single degree, combination of degrees, certifications and or examinations, or a combination of degree(s) and professional work experience, where determined to be equivalent to U.

S. bachelor's degree by a qualified credential evaluation service. Five (5) years of experience in the job offered or a related financial services role.

• Must have five (5) years of experience with : working on compliance, surveillance, or internal audits within the financial service industry;
• utilizing regulatory framework to identify compliance risks and propose solutions; identifying control framework deficiency and proposing solutions to mitigate the deficiency;

and communicating (both written and verbal) recommendations related to compliance controls to management and internal and external stakeholders.

• Must have three (3) years of experience with : reviewing surveillance alerts for disposition or escalation to assess for compliance or regulatory risks and working on enhancing detection logic and surveillance development;
• working within a surveillance and monitoring team including experience handling multiple tasks simultaneously, managing stakeholders’ expectations, and working under tight deadlines;
• utilizing analytical and problem-solving skills to review and disposition alerts, escalation issues to respond to regulatory inquiries;
• utilizing analytics tools and applications such as Alteryx, Tableau and SQL; working with multiple file types and combining the data sets into actionable metrics and dashboards;

and developing and maintaining dashboards and business intelligence models.

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