Compliance – Salt Lake City - Associate, Control Room – 9793007

Goldman Sachs • Salt Lake City, UT

1d • Onsite

About The Position

Goldman Sachs & Co. LLC is seeking an Associate, Control Room in Salt Lake City, Utah. The role maintains the integrity of the Firm’s information barrier by monitoring material non-public information received and held across the Firm’s private- and public-side businesses. The Associate works with deal teams to assess how active deals may materially affect tradable financial instruments, using financial calculations and company strategies. The role also maintains internal database records of active deals involving material non-public information, including notes and summaries of related discussions and decisions.

The Associate works with internal stakeholders to maintain Confidential Lists and review transactions for applicable legal and policy restrictions on securities sales, trading, and research activity. The role reviews draft investment research reports and financial models prepared by Global Investment Research, as well as proposed securities transactions, to advise whether publication or sales and trading activity is permissible. It also applies Global Research Settlement rules and related Firm policies and procedures, monitors communications among internal stakeholders, and facilitates review and approval of certain Firm and client transactions and subsequent risk management activities.

Requirements

• Master’s degree (U.S. or foreign equivalent) in Finance, Economics, or a related field and one year of experience in the job offered or a related role; or a bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, or a related field and three years of experience in the job offered or a related role.
• With a master’s degree, one year of experience, or with a bachelor’s degree, three years of experience, working with the business side to comply with internal stakeholder policies and procedures, including information barriers.
• Experience applying a risk management framework to identify, assess, and mitigate financial and operational risk arising from trading.
• Experience responding to inquiries from regulators and internal teams about policies, procedures, and transaction history.
• Experience managing multiple tasks, meeting deadlines, and escalating issues when appropriate in a fast-paced environment.
• Experience identifying and managing conflicts of interest with internal desks.

Responsibilities

• Maintain the integrity of the Firm’s information barrier by monitoring receipt and possession of material non-public information across private- and public-side businesses.
• Work with deal team personnel to analyze the material impact of active deals on tradable financial instruments, based on financial calculations and company strategies.
• Maintain internal database entries for active deals involving material non-public information, including notes and summaries of discussions and decisions.
• Work with internal stakeholders to maintain the Firm’s Confidential Lists and review transactions for applicable legal and policy restrictions on securities sales, trading, and research activity.
• Review investment research report drafts and financial models prepared by Global Investment Research, and proposed securities transactions, to advise whether publication or sales and trading activity is permissible.
• Apply Global Research Settlement rules and associated Firm policies and procedures, and monitor communications between internal stakeholders.
• Facilitate review and approval of certain Firm and client transactions and subsequent risk management activities.

What This Job Offers

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