Job Description
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 defence, we assess the firm’s compliance, regulatory and reputational risk; monitor for compliance with new or amended laws, rules and regulations; design and implement controls, policies, procedures and training; conduct independent testing; investigate, surveil and monitor for compliance risks and breaches; and lead the firm’s responses to regulatory examinations, audits and inquiries. You’ll be part of a team with members from a variety 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.
Responsibilities And Qualifications
The Control Room, part of Global Compliance, is seeking a compliance officer for a role in Birmingham. 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 and public side businesses. It also stays close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, and advises the business areas involved in trading and research on the applicability of those restrictions.
Principal Responsibilities
- Interacting with the Global Banking & 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 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 & Markets Private personnel.
- Managing 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+ years of compliance experience in financial services, preferably with control room and/or private side compliance.
- Strong understanding of Investment Banking & 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
- Ability to work with automation and analytics tools (Alteryx, Tableau, Databases).
- Passed CFA Level 1 or higher is an added advantage.
- Knowledge of US Securities laws including SEC Reg M, SEC Rules 14e‑5, 144A and Reg D, etc.
Goldman Sachs is an equal‑opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
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