Compliance, E-Communications, Associate / Vice President, Salt Lake City

FCC Communications Team

The successful candidate will be responsible for reviewing the electronic and voice communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm.  The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy.  The Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering.  Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.  

Principal Responsibilities: 

• Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
• Identify, document and resolve potential regulatory/compliance issues
• Partner with Business Aligned Compliance and generate and review monthly reporting summaries on issues identified
• Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of communications
• Design, testing, and maintenance of communication surveillances
• Assist with strategic projects 
• Assist with managing the firm’s communication retention framework, including: 
  • In partnership with Legal, evaluate potential surveillance requirements for communication functionalities within applications
  • Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications
  • Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms

 Basic Qualifications:

• 6+ years’ experience, preferably in the financial services industry
• Proficiency in project or program management
• Prior document and/or e-discovery review experience a plus
• Strong interpersonal skills, including the ability to collaborate and work as a team
• Attention to detail and strong follow-up skills
• Additional language skills preferred
• Excellent oral and written communications skills
• Excellent problem solving skills with the ability to exercise sound and balanced judgment
• Ability to handle multiple tasks simultaneously and work under pressure
• Ability to juggle competing priorities and stakeholder concerns
• Ability to manage multiple projects
• MS Office tools such as Outlook, Word, and Excel skills including creating pivot tables, and running formulas. Knowledge of data manipulation and visualization techniques would be a plus