Job Information
GOLDMAN, SACHS & CO. Compliance, Control Room Compliance, Associate in SALT LAKE CITY, Utah
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.
Our Impact
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Salt lake City. The Salt Lake City Control Room is one of seven Goldman Sachs Control Rooms globally (including New York, London, Bengaluru, Hong Kong, Tokyo and Sydney). The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses (e.g., Investment Banking, Asset Management Private, Finance and Risk) and public side businesses (e.g., Global Markets, Asset Management Public, Private Wealth Management, and Global Investment Research). Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.
Principal Responsibilities:
Interacting with the Global Banking and Markets and Asset Wealth Management Divisions to maintain the Firm's Confidential Lists
Reviewing research published by Global Investment Research to ensure compliance with certain legal and regulatory obligations
Liaising with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
Applying the Research Settlement rules to facilitate communications between Equity Research and Global Banking and Markets Private personnel
Manage the Firm's bespoke Materiality Checking process, working with the Conflicts Resolution Group, to facilitate approval for certain Firm and client transactions and subsequent risk management activities
Basic Qualifications:
College or university graduate with 4 plus years of compliance experience in financial services, preferably with control room and/or private side compliance
Strong understanding of Investment Banking and Securities business and products
Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Proficient in using Microsoft Office products, tools, and utilities for business use
Excellent verbal and written communication skills
Ability to work as a member of a team in a high-pressure, fast-paced environment
Preferred Qualifications:
- Knowledge of US Securities laws including, SEC Reg M, SEC Rules 14e - 5, 144A and Reg D etc
ABOUT GOLDMAN SACHS
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