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- Tasks: Join our team to monitor compliance and manage confidential information flow in a fast-paced environment.
- Company: Goldman Sachs is a leading global investment banking and securities firm with a commitment to diversity and inclusion.
- Benefits: Enjoy training opportunities, wellness programs, and a supportive work culture that values personal growth.
- Why this job: Be part of a dynamic team that shapes compliance culture and impacts the financial industry positively.
- Qualifications: Ideal candidates are graduates with 4+ years in compliance, strong communication skills, and a knack for teamwork.
- Other info: Experience with automation tools and knowledge of US Securities laws is a plus.
The predicted salary is between 36000 - 60000 £ per year.
Compliance, Control Room, Associate, BirminghamOur 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 and QualificationsThe Control Room, part of Global Compliance, 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 (e.g., Global Banking & Markets Private, and 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). 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 the business areas at the firm dealing with trading and research as to the applicability of those restrictions.
Principal 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 SachsAt 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
The Goldman Sachs Group, Inc., 2025. All rights reserved. Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
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Compliance, Control Room, Associate, Birmingham employer: Goldman Sachs
Contact Detail:
Goldman Sachs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Associate, 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 commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in control rooms or investment banking. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals.
✨Tip Number 3
Showcase your analytical skills by discussing any experience you have with automation and analytics tools during conversations with potential employers. Highlighting your proficiency in tools like Alteryx or Tableau can set you apart from other candidates.
✨Tip Number 4
Prepare for situational interview questions by thinking of examples where you've successfully navigated compliance challenges. Being able to articulate your problem-solving process will demonstrate your sound judgment and adaptability.
We think you need these skills to ace Compliance, Control Room, Associate, Birmingham
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and qualifications required for the Compliance, Control Room Associate position. Tailor your application to highlight relevant experiences that align with these requirements.
Highlight Relevant Experience: In your CV and cover letter, emphasise your compliance experience in financial services, particularly any roles related to control room functions. Use specific examples to demonstrate your understanding of investment banking and securities regulations.
Showcase Communication Skills: Since excellent verbal and written communication skills are essential for this role, ensure your application reflects your ability to communicate complex information clearly. Consider including examples of how you've successfully communicated in high-pressure situations.
Tailor Your Cover Letter: Craft a compelling cover letter that not only outlines your qualifications but also expresses your enthusiasm for the role and the company. Mention your adaptability to changing regulatory landscapes and your commitment to compliance culture.
How to prepare for a job interview at Goldman Sachs
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the current regulatory environment, especially in relation to investment banking and securities. Brush up on key regulations like SEC Reg M and others mentioned in the job description, as this knowledge will be crucial during your interview.
✨Showcase Your Compliance Experience
Be prepared to discuss your previous compliance experience in detail. Highlight specific instances where you've successfully navigated compliance challenges or implemented controls, particularly in a control room setting.
✨Demonstrate Teamwork Skills
Since the role involves working closely with various teams, emphasise your ability to collaborate effectively. Share examples of how you've worked in high-pressure environments and contributed to team success.
✨Prepare Questions for the Interviewers
Have thoughtful questions ready to ask your interviewers about the firm’s culture, the Control Room's operations, and how they handle compliance challenges. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
