Associate, Regulatory Compliance
Company: Goldman Sachs & Co. LLC
Location: Salt Lake City
Posted on: July 2, 2025
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Job Description:
Associate, Regulatory Compliance with Goldman Sachs & Co. LLC in
Salt Lake City, Utah. Responsible for Financial Industry Regulatory
Authority (FINRA), Securities and Exchange Commission (SEC), and
National Futures Association (NFA) registration matters and filings
for Firm personnel. Providing consultations on registration
requirements; validating internal and external regulatory
compliance data, actioning as needed, and coordinating with
divisional stakeholders; enhancing and/or automating existing
compliance processes; and publishing key workflows, developing test
cases, and documenting processes. Requires: Bachelor’s degree (U.S.
or foreign equivalent) in Finance, Business, Computer Engineering,
Information Technology, or a related field and five (5) years of
experience in the job offered or a related role. Prior work
experience must include three (3) years of experience with each of
the following: applying knowledge of rules-based framework to
proactively identify risks and propose solutions and mitigate
deficiencies; working within a team, communicating industry
requirements and firm expectations to stakeholders, including
deadlines, stakeholder obligations, and systems instructions;
communicating (both written and verbal) recommendations related to
compliance controls to management and internal stakeholders and
working towards a consensus-driven solution; working with a variety
of senior and junior colleagues in various geographical locations
and various functions, including Compliance, Engineering, and
Business-side personnel to communicate regulatory requirements to
current and new activities on the business side; analyze large
datasets from internal and external systems; presenting and
providing verbal and written reporting and metrics to senior
management and responding to other ad hoc requests from
stakeholders, including requests from internal audit, line
compliance, and/or regulators; defending (orally and in writing)
compliance-related decisions and analyses to business stakeholders
and employees; experience learning new technologies and partnering
with Technology to make system enhancements; utilizing MS Office
tools, such as Excel, to create pivot tables, running formulas, and
macros; and utilizing project, data, and report management software
like JIRA, Tableau, or Alteryx to generate or update consumables
for stakeholders. Job Code: 8632942 QUALIFIED APPLICANTS: Apply at
gs.com and click on "Careers." NO PHONE CALLS PLEASE. ©The Goldman
Sachs Group, Inc., 2025. All rights reserved. Goldman Sachs is an
equal opportunity employer and does not discriminate on the basis
of race, color, religion, sex, national origin, age, veteran
status, disability, or any other characteristic protected by
applicable law.
Keywords: Goldman Sachs & Co. LLC, Draper , Associate, Regulatory Compliance, IT / Software / Systems , Salt Lake City, Utah
