Compliance, Control Room, AssociateVice President, Sydney

GLOBAL COMPLIANCE

Our division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense Compliance assesses the firms 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 firms responses to regulatory examinations audits and inquiries. Youll 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 Sydney. The Control Room is primarily responsible for preserving the integrity of the Firms information barriers by monitoring and controlling the flow of confidential information between the Firms 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 & MarketsAsset Wealth Management and other business divisions in order to maintain the Firms Restricted Trading List Confidential Lists and other information control lists
• Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales trading and/or research activities pursuant to certain legal regulatory and/or policy considerations
• Reviewing research publish by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
• Applying the Global Research Settlement rules and Firms policies to monitor and facilitate communications between Equity Research and Corporate Advisory personnel
• Managing the Firms bespoke Materiality Checking process working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
• Working with cross regional team members on internal enhancement projects

BASIC QUALIFICATIONS:

• Undergraduate degree with minimum 3 years of compliance experience with Control Room or private side compliance preferred or legal-related experience in financial services industry
• Possess a strong understanding of the Corporate Advisory business 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 and fast-paced environment
• Detail-oriented with ability to multitask organize and prioritize
• Experience in owning a workflow process and providing training and ongoing guidance
• Proficient in using Microsoft Office products tools and utilities for business use

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. Were 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 committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group Inc. 2026. 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.