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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 development, wellness programs, and a supportive work culture.
- Why this job: Make a real impact by safeguarding the integrity of financial operations.
- Qualifications: Recent graduate with a passion for compliance and strong communication skills.
- Other info: Fast-paced team environment with opportunities for growth and learning.
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 in Birmingham. 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 and public side businesses. 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 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
- 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
Location: Birmingham, West Midlands, England, United Kingdom
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 firm‑wide 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.
Compliance, Control Room, Analyst, Birmingham employer: Goldman Sachs Group, Inc
Contact Detail:
Goldman Sachs Group, Inc Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Analyst, Birmingham
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance field, especially those at firms you're interested in. A friendly chat can open doors and give you insights that job descriptions just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and the financial market. We want you to show off your understanding of the current regulatory landscape and how it impacts the role.
✨Tip Number 3
Practice your communication skills! Whether it's verbal or written, being able to articulate your thoughts clearly is key in compliance roles. Consider mock interviews with friends or mentors to sharpen your delivery.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Compliance, Control Room, Analyst, Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that align with the Compliance, Control Room Analyst role. Highlight any relevant compliance or legal experience, and don’t forget to mention your understanding of the regulatory environment!
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 great fit for our team. Keep it concise but impactful!
Showcase Your Communication Skills: Since excellent verbal and written communication skills are key for this role, make sure your application is clear, well-structured, and free of errors. This is your first chance to impress us!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets to the right people. Plus, you’ll find all the details you need about the role there!
How to prepare for a job interview at Goldman Sachs Group, Inc
✨Know Your Compliance Basics
Before heading into the interview, brush up on your understanding of compliance regulations and the current regulatory environment. Familiarise yourself with key terms and concepts related to financial services, as this will show your genuine interest and readiness for the role.
✨Showcase Your Communication Skills
Since excellent verbal and written communication skills are crucial for this position, prepare to demonstrate these during the interview. Practice articulating your thoughts clearly and concisely, and be ready to discuss how you've effectively communicated complex information in past experiences.
✨Highlight Your Teamwork Experience
This role requires working closely with various divisions, so be prepared to share examples of how you've successfully collaborated in a team setting. Think of specific instances where you contributed to a group project or navigated challenges with colleagues.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your judgement and problem-solving abilities. Think through potential compliance issues you might face in the role and how you would handle them. This will help you demonstrate your proactive approach and ability to adapt to a changing regulatory landscape.
