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- Tasks: Monitor compliance risks and ensure adherence to regulations in a dynamic financial environment.
- Company: Join Goldman Sachs, a leading global investment banking firm with a commitment to diversity.
- Benefits: Enjoy professional growth opportunities, wellness programs, and a supportive work culture.
- Other info: Collaborate with a diverse team and thrive in a fast-paced, high-pressure setting.
- Why this job: Make a real impact by safeguarding the integrity of financial transactions and compliance.
- Qualifications: 8+ years in compliance with strong knowledge of financial services and regulatory environments.
The predicted salary is between 80000 - 100000 £ per year.
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.
Compliance, Control Room, Vice President, Birmingham employer: CFA Institute
Contact Detail:
CFA Institute Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Vice President, Birmingham
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars, and don’t be shy about asking for informational interviews. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those tricky interview questions! Brush up on your knowledge of current regulatory changes and compliance practices. We recommend practising with a friend or using mock interviews to get comfortable discussing your experience and how it relates to the role.
✨Tip Number 3
Showcase your adaptability! In compliance, things change fast. Be ready to share examples of how you’ve successfully navigated shifting regulations or tackled unexpected challenges in your previous roles. This will demonstrate your ability to thrive in a high-pressure environment.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and engaged with our company. So, go ahead and hit that apply button!
We think you need these skills to ace Compliance, Control Room, Vice President, Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that align with the Compliance role. Highlight your compliance experience in financial services, especially in control room settings, to catch our eye!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a perfect fit for our team. Don’t forget to mention any relevant regulatory knowledge you have.
Showcase Your Communication Skills: Since excellent verbal and written communication skills are key for this role, make sure your application is clear, concise, and free of errors. We want to see your ability to convey complex information effectively!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets into the right hands and shows us you’re serious about joining our team at StudySmarter!
How to prepare for a job interview at CFA Institute
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory changes and compliance practices in financial services. Being able to discuss current trends and how they impact the role will show that you're not just knowledgeable but also genuinely interested in the field.
✨Showcase Your Team Spirit
Since this role involves working closely with a diverse team, be ready to share examples of how you've successfully collaborated in high-pressure situations. Highlight your adaptability and sound judgement, as these are key traits for the position.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical compliance scenarios. Think about how you would handle conflicts of interest or breaches of policy. Practising these responses can help you articulate your thought process clearly during the interview.
✨Demonstrate Your Communication Skills
As excellent verbal and written communication skills are essential, prepare to discuss complex compliance topics in a way that's easy to understand. You might even want to bring along a brief report or presentation you've created to showcase your ability to convey information effectively.