Compliance, Market Surveillance Group

Compliance, Market Surveillance Group

Goldman Sachs | Salt Lake City, UT, 84101, US
Job Type: Full TimeSalary Range:$66,000 – $108,000 Salary range estimated by Zippia

Posted a month ago

Apply Now


Compliance, Market Surveillance Group – Financial Crime Compliance, Associate Job Description 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.  


The Market Surveillance Group sits within the Financial Crime Compliance Group, a centralized surveillance function within the Global Compliance Department. The group 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 Division and Investment Banking
  • 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
  • Pursue ad-hoc projects related to trading around market-moving news events such as merger & acquisition announcements, offerings, corporate accounting scandals, etc.
  • Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program

Basic Qualifications

  • Bachelor’s Degree
  • 3-6 years of experience in Financial Crime Compliance, preferably Market Surveillance or Surveillance related

Preferred Qualifications

  • Advanced MS Excel and PowerPoint skills (Pivot tables, VLookup, experience with large data sets, proficient in data manipulation and presentation)
  • 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 explain trading strategies
  • Experience/working knowledge of fixed-income securities, equity options, and other derivatives such as CDSs and CFDs
  • Strong communication skills, comfort developing a recommendation and supporting it by presenting and explaining analysis
  • Team player with great attitude and work ethic
  • Ability to multi-task on several different assignments/projects
  • Interest in working on a global team dealing with global businesses
  • Series 7/63 preferred
  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    We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:     © The Goldman Sachs Group, Inc., 2021. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity  
recblid k1svd5i52x60t17e82qb99o9eb17hm