Compliance - Salt Lake City - Associate, Control Room - 9347465

Goldman Sachs • Salt Lake, UT

5d • Onsite

About The Position

The Associate, Control Room role at Goldman Sachs & Co. LLC in Salt Lake City, Utah, involves liaising with Legal and other Compliance areas to monitor and/or restrict sales, trading, and research activities based on legal, regulatory, and policy considerations. This role is crucial for managing the flow of material nonpublic information within the firm, ensuring appropriate restrictions are in place, and chaperoning communications between public and private sides to maintain information barrier integrity. The position requires reviewing research published by the Global Investment Research division for compliance with legal and regulatory obligations, and applying Research Settlement rules to facilitate communication between Equity Research and Investment Banking personnel. Additionally, the role involves representing Control Room Americas in firmwide AI initiatives, leading efforts to integrate AI and large language models (LLMs) into Control Room workflows, including prompt design and reporting automation, and collaborating with Engineering teams to enhance internal platforms and user interfaces. The role also includes leading the Control Room Americas team in both Classic and Chaperone spaces, providing mentorship, onboarding, and continuous training, and actively participating in the hiring process.

Requirements

• Master’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Economics, or related field and one (1) year of experience in the job offered or a related role OR Bachelor’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Economics, or related field and three (3) years of experience in the job offered or a related role.
• Perform advanced data manipulation, statistical analysis, and executive-level reporting of global compliance metrics.
• Advanced quantitative and analytical skills required to complete statistical analysis and data-driven decision-making, complex pattern identification to recognize discrepancies and shifts, and trend analysis across large compliance datasets that may signal emerging compliance risks.
• Comprehensive financial knowledge including understanding of investment banking operations, market structures, trading mechanisms, and financial instruments necessary to effectively monitor compliance activities.
• Expertise in information barriers and maintaining the integrity of confidential information flows between private and public side business units in accordance with regulatory requirements.
• Thorough understanding of global financial regulatory frameworks, including knowledge of securities regulations, compliance protocols, and industry best practices applicable to Control Room operations.
• Advanced Excel skills utilizing macros, pivot tables, and Power Query for mid-sized data manipulation and preliminary trend analysis.

Nice To Haves

• Alteryx Designer Core Certification

Responsibilities

• Liaise with Legal and other Compliance areas to monitor and/or restrict sales, trading and research activities pursuant to legal, regulatory and policy considerations.
• Manage flow of material nonpublic information within the firm, ensuring appropriate restrictions are in place and chaperoning communications between public and private sides to maintain information barrier integrity.
• Review research published by the Global Investment Research division to ensure compliance with legal and regulatory obligations.
• Apply Research Settlement rules to facilitate communication between Equity Research and Investment Banking personnel, and chaperone internal meetings between these two divisions to ensure compliance with Firm Policy.
• Represent Control Room Americas as member of the Metrics and Reporting workstream, generating weekly global performance metrics, and developing analytics reports for senior leadership and stakeholders, leveraging Alteryx and other tools commonly used for statistical analysis and metrics generation to automate workflows and enhance data accuracy and insight delivery.
• Interact with Global Investment Banking and Asset Wealth Management divisions to maintain the Firm's Confidential Lists.
• Lead the Control Room Americas team in both the Classic and Chaperone spaces, providing mentorship, onboarding, and continuous training to new and existing team members.
• Actively participate in the hiring process by reviewing resumes, conducting interviews, and contributing significantly to final hiring decisions.
• Represent Control Room Americas in firmwide AI initiatives, leading efforts to integrate AI and large language models (LLMs) into Control Room workflows, including prompt design, reporting automation, and collaborating with Engineering teams to enhance internal platforms and user interfaces for improved efficiency and compliance.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level