Compliance, Control Room, Associate, Salt Lake City
About The Position
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Salt Lake City. This is one of seven Goldman Sachs Control Rooms globally. 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.
Requirements
- Recent college or law school graduate with 1-6 years of compliance or legal-related experience in financial services preferred
- Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
- Excellent verbal and written communication skills
- Proactive and willing to take on issues/responsibilities that require focus and determination
- Ability to work as a member of a team in a high-pressure, fast-paced environment
- Detail-oriented with ability to multitask, organize and prioritize
Responsibilities
- Interacting with the Investment Banking, Global Markets, and Asset Management (Public/Private) Divisions in order to maintain the Firm's Confidential Lists
- Reviewing research published by the Global Investment Research Division 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 Investment Banking personnel
- Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities
Benefits
- training and development opportunities
- firmwide networks
- benefits
- wellness
- personal finance offerings
- mindfulness programs
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
