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

Goldman Sachs • Salt Lake, UT

13h

About The Position

Goldman Sachs & Co. LLC is hiring an Associate, Control Room in Salt Lake City, Utah. The role maintains the integrity of the Firm’s information barrier by monitoring the receipt and possession of material non-public information across the Firm’s private- and public-side businesses. The Associate works with deal team personnel to assess the material impact of active deals on tradable financial instruments, using financial calculations and company strategies. The role also maintains an internal database of active deals involving material non-public information, including notes and summaries of related discussions and decisions.

The Associate engages with internal stakeholders to maintain the Firm’s Confidential Lists and reviews transactions to determine applicable legal and policy restrictions on securities sales, trading, and research activity. Responsibilities also include reviewing draft investment research reports and financial models prepared by Global Investment Research, and proposed securities transactions, to advise whether publication or sales and trading activity is permissible. The role applies Global Research Settlement rules and related Firm policies and procedures, monitors internal communications, and facilitates the 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; alternatively, 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.
• Experience working with the business side to ensure compliance with internal stakeholder policies and procedures, including information barriers: one year with a master’s degree or three years with a bachelor’s degree.
• Experience applying a risk management framework to identify, assess, and mitigate financial and operational risk arising from trading: one year with a master’s degree or three years with a bachelor’s degree.
• Experience responding to inquiries from regulators and internal teams about policies, procedures, and transaction history: one year with a master’s degree or three years with a bachelor’s degree.
• Experience managing multiple tasks, meeting deadlines, and escalating issues when appropriate in a fast-paced environment: one year with a master’s degree or three years with a bachelor’s degree.
• Experience identifying and managing conflicts of interest with internal desks: one year with a master’s degree or three years with a bachelor’s degree.

Responsibilities

• Monitor the receipt and possession of material non-public information on both the private and public sides of the Firm to maintain the integrity of its information barrier.
• Work with deal team personnel to analyze the material impact of active deals on tradable financial instruments using financial calculations and company strategies.
• Maintain an internal Firm database log of active deals involving material non-public information, including notes and summaries of discussions and decisions.
• Interact with internal stakeholders to maintain the Firm’s Confidential Lists.
• Review transactions and determine 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, as well as proposed securities transactions, and 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