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- Tasks: Join our team to monitor compliance and manage confidential information flow.
- Company: Goldman Sachs is a leading global investment banking and securities firm with a diverse culture.
- Benefits: Enjoy competitive vacation policies, health services, and financial wellness programs.
- Why this job: Be part of a dynamic team that values curiosity and sound judgment in a fast-paced environment.
- Qualifications: Recent graduates with up to 2 years of compliance or legal experience preferred.
- Other info: We promote diversity and inclusion, offering numerous opportunities for personal and professional growth.
The predicted salary is between 36000 - 60000 £ per year.
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 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\’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.
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role inBirmingham. 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 Capital Markets, Finance and Risk) and public side businesses (e.g., 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 and Capital Markets 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 2+ 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
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
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 GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.
Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.
Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Benefits at Goldman Sachs
Read more about the full suite of class-leading benefits our firm has to offer.
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Compliance, Control Room, Analyst, Birmingham Birmingham · United Kingdom · Analyst employer: Goldman Sachs Bank AG
Contact Detail:
Goldman Sachs Bank AG Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Analyst, Birmingham Birmingham · United Kingdom · Analyst
✨Tip Number 1
Familiarise yourself with the latest compliance regulations and financial market trends. This knowledge will not only help you in interviews but also demonstrate your genuine interest in the role and the industry.
✨Tip Number 2
Network with professionals already working in compliance or related fields. Attend industry events or join relevant online forums to connect with others who can provide insights and potentially refer you to opportunities at StudySmarter.
✨Tip Number 3
Prepare for situational interview questions by thinking of examples from your past experiences that showcase your problem-solving skills and ability to work under pressure. This is crucial for a role that requires sound judgment and adaptability.
✨Tip Number 4
Research StudySmarter’s culture and values, particularly around compliance and risk management. Tailoring your conversation to align with our mission can set you apart as a candidate who truly understands and fits within our team.
We think you need these skills to ace Compliance, Control Room, Analyst, Birmingham Birmingham · United Kingdom · Analyst
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and qualifications required for the Compliance, Control Room Analyst position. Tailor your application to highlight relevant experiences that align with these requirements.
Highlight Relevant Experience: In your CV and cover letter, emphasise any compliance or legal-related experience you have, especially in financial services. Use specific examples to demonstrate your understanding of regulatory environments and your ability to manage compliance risks.
Showcase Communication Skills: Since excellent verbal and written communication skills are essential for this role, ensure your application reflects your ability to communicate clearly and effectively. Consider including examples of how you've successfully communicated complex information in previous roles.
Tailor Your Cover Letter: Craft a personalised cover letter that addresses why you want to work at Goldman Sachs specifically. Mention their commitment to diversity and inclusion, and how your values align with their culture. This will show that you've done your homework and are genuinely interested in the position.
How to prepare for a job interview at Goldman Sachs Bank AG
✨Understand the Regulatory Landscape
Familiarise yourself with the current regulatory environment and financial markets. Be prepared to discuss recent changes in regulations and how they might impact compliance practices.
✨Showcase Your Communication Skills
As a compliance analyst, you'll need excellent verbal and written communication skills. Practice articulating your thoughts clearly and concisely, and be ready to provide examples of how you've effectively communicated complex information in the past.
✨Demonstrate Attention to Detail
Highlight your ability to multitask and prioritise while maintaining a keen eye for detail. Prepare examples from your previous experiences where your attention to detail helped prevent compliance issues or improved processes.
✨Emphasise Teamwork and Adaptability
The role requires working closely with various divisions. Share experiences that demonstrate your ability to collaborate in a team setting and adapt to changing circumstances, especially in high-pressure environments.
