Compliance, Control Room, Associate - New York, United States - Goldman Sachs

Description

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GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms responses to regulatory examinations, audits and inquiries. 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.

Job Description

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in New York/Jersey City. This is one of eight Goldman Sachs Control Rooms globally (including Salt Lake City, London, Warsaw, Bengaluru, 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.

Principal Responsibilities:

Interacting with the Investment Banking, Merchant Banking, Securities, and Asset Management 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

Basic Qualifications:

Recent college or law school graduate with up to 3+ 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
Ability to work as a member of a team in a high-pressure, fast-paced environment
Detail-oriented with ability to multitask, organize and prioritize

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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. Learn more about our culture, benefits, and people at

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