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- Tasks: Join a dynamic team ensuring compliance in financial services and mitigating risks.
- Company: Goldman Sachs, a leading global investment banking firm with a diverse culture.
- Benefits: Competitive salary, generous vacation, health services, and professional development opportunities.
- Why this job: Make a real impact in compliance while working with top professionals in the industry.
- Qualifications: 4+ years of compliance experience and strong understanding of financial regulations.
- Other info: Fast-paced environment with excellent career growth and support for personal development.
The predicted salary is between 36000 - 60000 £ per year.
Overview
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 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'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.
Responsibilities
- Interacting with the Global Banking & Markets and Asset Wealth Management Divisions to maintain the Firm's Confidential Lists
- Reviewing research published by Global Investment Research 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 Global Banking & Markets Private personnel
- Manage the Firm’s bespoke Materiality Checking process, working with the Conflicts Resolution Group, to facilitate approval for certain Firm and client transactions and subsequent risk management activities
Basic Qualifications
- College or university graduate with 4+ years of compliance experience in financial services, preferably with control room and/or private side compliance
- 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 added advantage
- Knowledge of US Securities laws including, SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc
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.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.
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.
Compliance, Control Room, Associate, Birmingham Birmingham · United Kingdom · Associate 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, Associate, Birmingham Birmingham · United Kingdom · Associate
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance field, especially those at Goldman Sachs. A friendly chat can open doors and give you insights that a job description just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of financial regulations and compliance practices. We want to see that you're not just familiar with the basics but can also discuss current trends and challenges in the industry.
✨Tip Number 3
Showcase your adaptability! The regulatory landscape is always changing, so be ready to share examples of how you've successfully navigated changes in past roles. This will demonstrate your ability to thrive in a fast-paced 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, it shows you're serious about joining our team at Goldman Sachs.
We think you need these skills to ace Compliance, Control Room, Associate, Birmingham Birmingham · United Kingdom · Associate
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Associate role. Highlight your relevant experience in financial services and compliance, and show us how your skills align with what we're looking for.
Showcase Your Communication Skills: Since excellent verbal and written communication is key for this role, make sure your application reflects that. Use clear, concise language and avoid jargon unless it's necessary. We want to see how you can communicate effectively!
Highlight Your Regulatory Knowledge: Demonstrate your understanding of the current regulatory environment and financial markets. Mention any specific regulations or compliance frameworks you're familiar with, as this will show us you're ready to hit the ground running.
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. Plus, it shows us you're serious about joining our team at StudySmarter!
How to prepare for a job interview at Goldman Sachs Bank AG
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those relevant to financial services. Familiarise yourself with US Securities laws and the current regulatory environment, as this will show that you're serious about the role and understand the landscape you'll be working in.
✨Showcase Your Team Spirit
Since you'll be working closely with various teams, it's crucial to demonstrate your ability to collaborate. Prepare examples from your past experiences where you successfully worked in a team, especially in high-pressure situations. This will highlight your adaptability and teamwork skills.
✨Communicate Clearly
Excellent verbal and written communication skills are key for this role. Practice articulating your thoughts clearly and concisely. You might even want to prepare a few points on how you would explain complex compliance concepts to someone without a financial background.
✨Get Familiar with Tools
If you have experience with automation and analytics tools like Alteryx or Tableau, make sure to mention it. If not, consider doing a bit of research or even a quick online course to get a basic understanding. Showing that you're proactive about learning these tools can set you apart from other candidates.
