Compliance-Salt Lake City-Associate-Control Room at Asset & Wealth Management
Asset & Wealth Management · Salt Lake City, United States Of America · Onsite
- Professional
- Office in Salt Lake City
RESPONSIBILITIES AND QUALIFICATIONS
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 Bengaluru, London, New York, Hong Kong, Tokyo and Sydney). 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, and Merchant Banking, Finance and Risk) and public side businesses (e.g., Securities, Asset Management, 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.
The role will be based in Salt Lake City, Utah with global coverage, and you will closely collaborate with other Control Room Compliance team members across the globe.
Principal Responsibilities:
- Interacting with the Investment Banking, Global Markets and Asset Management Divisions 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 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
Minimum Qualifications:
- A postgraduate in MBA (Finance), or a graduate from any college/university who have passed CFA Level 1 or higher.
- Need to have minimum 3 years of experience working in financial servicing firms like investment bank, broker-dealer, PE/VC or similar buy side/sell side firms.
- Need to demonstrate strong understanding of, 1) Financial markets & 2) Functions of a full-service Investment Banking firm
- Proficient in using Microsoft Office products, tools, excellent verbal and written communication skills & ability to work as a member of a team in a high-pressure, fast-paced environment
Preferred Qualifications:
- Candidate with relevant work experience (in the Control Room and/or private side compliance)
- Candidates with experience in managing insider trading risk and/or experience in regulations securities laws including SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc.
- Candidates with experience in automation and analytics tools, Alteryx Core designer certified or Tableau/SQL certified or equivalent Data Analytics certificates
