Compliance, Control Room, Associate, Salt Lake City
Control Room
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 (including New York City, London, Bengaluru, Hong Kong, Tokyo, and Sydney).
Principal 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
About the Role
You'll be part of a team with members from a wide range 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.
Qualifications
- 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
- Able to work as a member of a team in a high-pressure, fast-paced environment
- Detail-oriented with ability to multitask, organize and prioritize
Benefits
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs.
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