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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 commitment to diversity.
- Benefits: Enjoy professional growth opportunities, wellness programs, and a supportive work culture.
- Why this job: Be part of a dynamic team tackling real-world compliance challenges in a fast-paced environment.
- Qualifications: Recent graduates with a background in compliance or law, strong communication skills, and attention to detail.
- Other info: Opportunities for personal and professional development in a diverse workplace.
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 (Investment Banking, and Capital Markets, Finance and Risk) and public side businesses (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 /careers. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.
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Compliance, Control Room, Analyst, Birmingham employer: Goldman Sachs
Contact Detail:
Goldman Sachs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Analyst, Birmingham
✨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 proactive approach to staying informed in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance and financial services sectors. Attend industry events or join relevant online forums to connect with individuals who can provide insights into the role 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 during interviews to align with our mission will show your genuine interest in being part of our team.
We think you need these skills to ace Compliance, Control Room, Analyst, Birmingham
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance, Control Room Analyst position. Familiarise yourself with compliance regulations and the specific functions of the Control Room.
Tailor Your CV: Highlight relevant experience in compliance or legal roles, especially within financial services. Emphasise your understanding of regulatory environments and any specific skills that align with the job description.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your ability to adapt to changing regulations. Mention specific experiences that demonstrate your sound judgment and proactive approach.
Proofread Your Application: Ensure that your application is free from grammatical errors and typos. A well-presented application reflects your attention to detail, which is crucial for a role in compliance.
How to prepare for a job interview at Goldman Sachs
✨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 impact compliance practices, as this shows your proactive approach and understanding of the role.
✨Demonstrate Strong Communication Skills
Since the role involves liaising with various divisions, practice articulating your thoughts clearly and concisely. Prepare examples of how you've effectively communicated complex information in previous roles or during your studies.
✨Showcase Your Detail Orientation
As a compliance analyst, attention to detail is crucial. Bring examples of how you've successfully managed multiple tasks while maintaining accuracy. This could be from academic projects or previous work experiences.
✨Prepare for Teamwork Scenarios
The role requires collaboration with diverse teams. Think of instances where you worked effectively in a team, especially under pressure. Be ready to discuss how you contributed to achieving common goals.
