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- Tasks: Join a dynamic team ensuring compliance and managing risks in a fast-paced environment.
- 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 crucial team that shapes the firm's compliance culture and impacts the financial industry.
- 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 28800 - 48000 ÂŁ per year.
Compliance, Control Room, Associate, Birmingham
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Compliance, Control Room, Associate, Birmingham
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Job Description
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.
Job Description
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 And Qualifications
The 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 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
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 laws relevant to the role. This will not only help you understand the responsibilities better but also demonstrate your commitment to staying updated in a rapidly changing regulatory landscape.
✨Tip Number 2
Network with professionals already working in compliance roles, especially within investment banking. Engaging with them can provide insights into the day-to-day challenges and expectations of the position, which can be invaluable during interviews.
✨Tip Number 3
Showcase your analytical skills by discussing any experience you have with automation and analytics tools like Alteryx or Tableau. Highlighting your proficiency in these areas can set you apart from other candidates.
✨Tip Number 4
Prepare for situational interview questions that assess your judgement and decision-making abilities. Think of examples from your past experiences where you had to navigate complex compliance issues or adapt to new regulations.
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 you thoroughly understand the responsibilities and qualifications for the Compliance, Control Room, Associate position. Tailor your application to highlight relevant experience in compliance and regulatory environments.
Highlight Relevant Experience: In your CV and cover letter, emphasise your compliance experience, particularly in financial services. Mention any specific roles or projects that relate to control room functions or regulatory compliance.
Showcase Your Skills: Demonstrate your understanding of the current regulatory environment and financial markets. Include examples of how you've used analytical tools or managed compliance risks in previous roles.
Craft a Strong Cover Letter: Write a compelling cover letter that not only outlines your qualifications but also conveys your enthusiasm for the role at Goldman Sachs. Make sure to connect your skills with the firm's values and culture.
How to prepare for a job interview at Goldman Sachs
✨Understand Compliance Fundamentals
Make sure you have a solid grasp of compliance principles, especially in the context of financial services. Familiarise yourself with key regulations and how they impact the role, as this will demonstrate your readiness to engage with the responsibilities outlined in the job description.
✨Showcase Relevant Experience
Prepare to discuss your previous compliance experience, particularly any roles that involved control room functions or private side compliance. Be ready to provide specific examples of how you've navigated regulatory challenges or contributed to compliance initiatives in past positions.
✨Demonstrate Analytical Skills
Since the role involves monitoring compliance risks and using analytics tools, be prepared to discuss your experience with data analysis and any relevant software. Highlight your ability to interpret complex information and make sound judgments based on your findings.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's compliance culture and how the Control Room interacts with other divisions. This shows your genuine interest in the role and helps you assess if the company aligns with your career goals and values.
