Compliance, Control Room, Analyst

Compliance, Control Room Analyst – Birmingham

Compliance, Control Room Analyst, Birmingham role at Goldman Sachs

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. As an independent control function and part of the firm’s second line of defense, the Compliance Division assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with 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.

The Control Room, part of the Compliance Division, is 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 and public side businesses. It also ensures that all legal and policy restrictions are activated in a timely manner and advises firm divisions dealing with trading and research on the applicability of those restrictions.

• Interacting with the Investment Banking, Capital Markets and Asset Management Divisions to maintain the Firm's Confidential Lists.
• Reviewing research published by the Global Investment Research Division to ensure compliance with legal and regulatory obligations.
• Liaising with Legal and other compliance areas to monitor and restrict sales, trading and research activities pursuant to regulatory and 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.

• Recent college or law school graduate with up to 2+ years of compliance or legal-related experience in financial services preferred.
• General understanding of the current regulatory environment, financial markets and securities regulation and rules.
• Excellent verbal and written communication skills.
• Proactive and willing to take on issues and 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.

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.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

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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.