Operations ? Operations Data Quality Management ? Client Onboarding ? Policy & Quality Assurance - Associate ? Salt Lake
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POST DATE 9/3/2016
END DATE 2/23/2017
Goldman Sachs Group, Inc.
Salt Lake City, UT
JOB DESCRIPTIONYOUR IMPACT
Our Policy & Quality Assurance team is seeking a professional who is looking to work with a wide variety of individuals from Compliance, Technology, & Client On-boarding Operations to implement policy change and mitigate risks associated with completion of the Know Your Client requirements during the on-boarding of new clients.
Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm?s assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.
Operations Data Quality Management (ODQM) supports the Securities, Investment Management and Investment Banking Divisions of the firm. This group manages key relationships for the bank and infrastructure providers, on-boarding of institutional and prime brokerage clients, and assists in the coordination of issuance of new financial products.
As a member of The Policy & Quality Assurance team within Client On-boarding the individual will manage the control framework and oversight of a broad spectrum of firm policies that impact Institutional on-boarding teams. The primary focus is on Know-Your-Client, Customer Due Diligence and Enhanced Due Diligence workflows. The role is part of a global team responsible for overseeing aspects of policy implementation, quality assurance and audit facilitation for the COB division.
HOW YOU WILL FULFILL YOUR POTENTIAL
? Assist in developing and integrating quality control framework for new and existing processes
? Conduct quality assurance reviews to ensure adherence to firm policies
? Partner with Compliance to implement new and updated policies to satisfy regulatory obligations
? Collaborate with line teams to ensure sound and consistent practices across the division
? Coordinate and conduct training sessions for regional teams on new and updated policy guidance
? Assist with audit preparations in response to internal and external regulatory inquiries
? Participate and contribute to industry-wide initiatives
SKILLS & EXPERIENCE WE?RE LOOKING FOR? Minimum 3 years work experience in relevant function
? AML Compliance or other risk assessment experience strongly preferred
? Ability to understand large and complex regulations and rule sets
? Previous experience in writing policies and procedures
? Previous experience in people management
? Understanding of Risk ? operational, reputational, client confidentiality etc
? Resourcefulness, strong judgment and problem solving skills
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. The Goldman Sachs Group, Inc., 2015. All rights reserved.*****