Overview
Our division prevents, detects and mitigates compliance, regulatory, and reputational risk across the firm and helps 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, Compliance assesses the firm’s compliance, regulatory and reputational risk, monitors for compliance with new or amended laws, rules and regulations, designs and implements controls, policies, procedures and training, conducts independent testing, investigates, surveils and monitors for compliance risks and breaches, and leads the firm’s responses to regulatory examinations, audits and inquiries.
You will work alongside a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. The team values sound judgement, curiosity, and the ability to adapt to changing regulatory requirements. The role involves monitoring regulatory changes, reviewing research and transaction activity, liaising with Legal and other Compliance areas, applying Research Settlement rules, managing the bespoke Materiality Checking process, and working with the Conflicts Resolution Group to facilitate approvals for firm and client transactions.
Responsibilities
The Control Room, part of Global Compliance, is 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., Global Banking & Markets Private, Asset Wealth Management Private, Finance and Risk) and public side businesses (e.g., Global Banking & Markets Public, Asset Wealth Management Public and Global Investment Research). It also stays close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner and advises business areas dealing with trading and research on the applicability of those restrictions.
Basic Qualifications
- College or university graduate with 8+ years of compliance experience in financial services, with control room and/or private side compliance background essential.
- 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 U.S. securities laws including SEC Reg M, SEC Rules 14e‑5, 144A and Reg D.
About Goldman Sachs
Founded in 1869, Goldman Sachs is a leading global investment banking, securities and investment management firm headquartered in New York with offices around the world. The firm commits its people, capital and ideas to help clients, shareholders and the communities we serve to grow. We believe who you are makes you better at what you do and are committed to fostering and advancing diversity and inclusion in our workplace and beyond. The firm provides opportunities for professional and personal growth through training and development, firm‑wide networks, benefits, wellness, personal finance offerings and mindfulness programs.
Equal Employment Opportunity
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veteran status, disability, or any other characteristic protected by applicable law. Goldman Sachs also provides reasonable accommodations for candidates with special needs or disabilities during the recruiting process.
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