Compliance, Control Room, Sr. Analyst/Associate, Salt Lake City

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Salt Lake City. The Salt Lake City Control Room is one of six Goldman Sachs Control Rooms globally (including Jersey City, London, Hong Kong, Tokyo and Sydney).

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 advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).

Principal Responsibilities:

  • Interacting with the Investment Banking, Merchant Banking, Securities, 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 up to 3+ 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

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.

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