Compliance, Control Room Compliance, Vice President

Our Impact

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 seven Goldman Sachs Control Rooms globally (including New York London Bengaluru Hong Kong Tokyo and 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. Investment Banking Asset Management Private Finance and Risk) and public side businesses (e.g. Global Markets Asset Management Public 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 Asset Management (Public/Private) and Global Markets in order to maintain the Firms 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 Resolution Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities
Basic Qualifications:
Undergraduate MBA or law school graduate with at least 5 plus years of compliance or legal-related experience in financial services preferred
Understanding of Investment Banking & Securities business and products
Experience providing quality control reviews
Experience with training motivating and supervising junior team members
Experience in owning a workflow process and providing training and ongoing guidance
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

Preferred Qualifications:
Knowledge of US Securities laws including SEC Reg M SEC Rules 14e - 5 144A and Reg D etc.
Prior Control Room experience