Compliance, Market Surveillance Compliance, Associate
3 weeks ago
Market Surveillance Compliance The Market Surveillance Compliance team sits within the Global Compliance Department. The team strives to detect potential insider trading, market abuse, violations of regulations and policies related to information barriers, and/or violations of firmwide trading policies through established advanced technology-based trading surveillances. Market Surveillance focuses on establishing surveillances to cover all business units globally. The opportunity within Market Surveillance exists in the Salt Lake City office and will focus on surveillance alerts, ad-hoc investigations arising from internal escalations and regulatory inquiries, as well as project-based work on building out trade-surveillance parameters underpinning new surveillance technologies.
Key Responsibilities
Identify potential insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts Research market-moving events and create market color, conduct an analysis of the trading in the context of this market color, develop and support a recommendation Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Asset and Wealth Management segments Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new/existing automated surveillance models and output Coordinate with the Anti-Money Laundering Group globally on trading-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR) Pursue ad-hoc projects related to trading around market-moving news events such as drug trials, merger & acquisition announcements, offerings, corporate accounting scandals, etc. Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance programBasic Qualifications
Bachelor’s Degree 3-5 years’ experience/working knowledge of many different product types . fixed-income securities, equity options, and other derivatives such as CDSs and CFDs Advanced MS Excel and PowerPoint skills (Pivot tables, VLookup, experience with large data sets, proficient in data manipulation and presentation)Preferred Qualifications
Proficiency with Bloomberg, Reuters and other market data tools and aptitude for research Interest in capital markets, current events, and financial news Ability to identify and draft a narrative explaining trading strategies Strong communication skills, comfort developing a recommendation and supporting it by presenting and explaining analysis Team player with great attitude and work ethic; experience managing workflows or teams Ability to multi-task on several different assignments/projects Interest in working on a global team dealing with global businesses FINRA SIE and/or Series 7/63 preferred ABOUT GOLDMAN SACHSAt 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 /careers. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.
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