Regulatory Compliance

Goldman Sachs; Salt Lake City (UT); Hybrid; USD 75,000 - 110,000; Full time

Benefits offered by this job

Medical Insurance

Financial Wellness

Health Services

Fitness Programs

Child Care

Employee Benefits

Job summary

Goldman Sachs is seeking a Senior Analyst/Associate in Salt Lake City to support Licensing Compliance within GCES. You will work with Legal, Divisional Compliance and business teams to ensure accurate licensing obligations and regulatory reporting.

The role emphasizes licensing renewals, regulatory filings, and coordination with state and federal regulators, requiring strong data analysis and communication skills.

Qualifications

• 2+ years of experience in Compliance, Licensing, Regulatory Reporting, Legal, Risk Management or related field.
• Familiarity with mortgage and consumer lending products or NMLS is a plus.
• Strong analytical, organizational and project management skills.
• Detail-oriented with commitment to excellence and accuracy.
• Ability to work independently and meet multiple deadlines.
• Excellent verbal and written communication skills.
• Experience analyzing large data sets for accurate reporting.
• Proficient in Excel, Word, PowerPoint and ALteryx.

Responsibilities

• Interpret lending laws and regulations.
• Assist with license applications, renewals, amendments, and surrender activities.
• Prepare and coordinate regulatory reports and filings to state/federal regulators.
• Work with large data sets to create internal and external regulatory reporting.
• Advise stakeholders on licensing requirements.
• Draft and maintain policies and procedures; identify process improvements.
• Liaise with Legal, Divisional Compliance, and Business teams on reporting obligations.
• Coordinate and manage regulatory examinations.

Skills

Compliance

Licensing

Regulatory Reporting

Legal

Risk Management

Audit

Financial Services

Tools

Microsoft Excel

Microsoft Word

PowerPoint

ALteryx

Job description

Compliance, Employee Services, Associate, Salt Lake City location_on Salt Lake City, UT, United States

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.

Global Compliance Employee Services (GCES)is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities.

Within GCES, the Licensing Compliance Teamis responsible for the maintenance and monitoring of U.S. mortgage, consumer lending and commercial lending licenses. This includes assisting with license applications and renewals, regulatory reporting to both state and federal regulators, and state examinations.

An opportunity exists within the team for a Senior Analyst/Associate. The individual will work closely with business teams, Legal, Divisional Compliance and other members of GCES in all aspects of ensuring the accuracy of the firm\'s licensing obligations.

Responsibilities

• Interpret lending laws and regulations
• Assist with license applications, renewals, amendments, and surrender activities
• Prepare and coordinate regulatory reports and filings submitted to state and federal regulators.
• Work with large data sets to create both internal and external regulatory reporting
• Advise internal stakeholders on licensing requirements
• Draft and maintain respective policies and procedures and identify opportunities to improve processes, controls and reporting.
• Liaise with Legal, Divisional Compliance, and Business teams on reporting obligations
• Coordinate and manage regulatory examinations.
• Work on other projects and assignments as needed.

Qualifications

• 2+ years of experience in Compliance, Licensing, Regulatory Reporting, Legal, Risk Management, Audit, Financial Services Operations, or a related field.
• Familiarity with mortgage and consumer lending products or the NMLS registration process is a plus
• Strong analytical, organizational, problem-solving and project management skills.
• Detailed-oriented with a strong commitment to excellence
• Ability to work independently and manage multiple deadlines and priorities
• Excellent verbal and written communication skills
• Experience analyzing and reconciling large data sets to ensure data accuracy and reporting
• Proficiency in Microsoft Excel, Word, and PowerPoint and other data software such as ALteryx

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

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees\’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.