Compliance, Control Room Compliance, Sr. Analyst/Associate
Listed on 2026-01-01
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Finance & Banking
Corporate Finance, Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Pay Competitive
Location Salt Lake City/Utah
Employment type
Full-Time
- Req#: 110061 Global ComplianceOur 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 defense, Compliance assesses the firm’s compliance, regulatory and reputational risk;
- Interacting with the Investment Banking, Global Markets, and Asset Management (Public/Private) 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
- Recent college or law school graduate with 1-6 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
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
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in New York. This is one of seven Goldman Sachs Control Rooms globally (including Salt Lake City, London, Bengaluru, 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 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:
Basic Qualifications:
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…
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