Compliance - Salt Lake - Vice President, Business Unit Compliance

Responsibilities

• Vice President, Business Unit Compliance with Goldman Sachs & Co. LLC in Salt Lake City, Utah; responsible for maintaining a framework and monitoring key deliverables for the surveillance and monitoring program.
• Draft and prepare risk and functional specification documents and prepare surveillance approval documents and procedures, and present the new and modified surveillances for committee approval.
• Ensure surveillances are closed timely for the US surveillances.
• Plan and track goals and milestones for the year; track and ensure timely remediation of audit and internal testing team findings.
• Track various aspects of the Firm’s surveillance lifecycle, such as procedure reviews and management oversight.
• Track inquiries and enforcement actions alongside regional managers to perform gap analysis and lead new initiatives within Private Wealth Management to ensure that projects are successfully delivered by understanding the scope and milestones, and to finalize timelines with business heads, including senior Compliance leadership and Compliance Engineering.
• Perform testing on the infrastructure, data quality, and logic, and provide feedback prior to launch; track, communicate, and publish progress updates to senior Compliance leadership.
• Manage a team of individuals conducting surveillance within the Compliance function.

• Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Management, or a related field and seven (7) years of experience in the relevant role.
• Requires one (1) year of experience with: compliance surveillance and monitoring experience within the financial services industry; experience implementing and rolling out new surveillances and controls within the financial services industry; experience training more junior individuals on surveillances and controls; experience reviewing alerts for disposition or escalation to assess for compliance or regulatory risks and enhancing detection logic and surveillance development;
  
  and communicating compliance controls recommendations to management and both internal and external stakeholders.

The Goldman Sachs Group, Inc., 2026. 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.