Job Category: Analyst
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 defense, Compliance assesses the firm's compliance, regulatory, and reputational risk; monitors for compliance with 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'll be part of a team with members from diverse academic and professional backgrounds, such as law, accounting, sales, and trading. We seek individuals with sound judgment, curiosity, and adaptability to a changing regulatory landscape.
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Birmingham. The Control Room primarily manages the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between different business units. It also ensures legal and policy restrictions are timely activated during banking transactions and advises divisions on the applicability of restrictions.
Principal Responsibilities:
* Interacting with Investment Banking, Capital Markets, and Asset Management divisions to maintain Confidential Lists.
* Reviewing research published by the Global Investment Research Division for compliance with legal and regulatory obligations.
* Liaising with Legal and other Compliance areas to monitor or restrict activities based on legal, regulatory, or policy considerations.
* Applying Research Settlement rules to facilitate communication between Equity Research and Investment Banking personnel.
* Working with the Conflicts & Business Selection Group to facilitate transaction approvals and risk management activities.
Qualifications:
* Recent college or law school graduate with up to 2+ years of compliance or legal-related experience in financial services preferred.
* Understanding of the current regulatory environment and financial markets or securities regulation.
* Excellent verbal and written communication skills.
* Proactive, responsible, and focused.
* Ability to work effectively in a high-pressure, fast-paced team environment.
* Detail-oriented with strong organizational and multitasking skills.
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 worldwide. We are committed to diversity, inclusion, and professional growth. Learn more about our culture, benefits, and opportunities at GS.com/careers.
We provide reasonable accommodations for candidates with disabilities during our recruiting process. For more information, visit this link.
Goldman Sachs is an equal opportunity employer, committed to diversity and inclusion in the workplace.
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