Compliance, Control Room Compliance, Vice President Salt Lake Vice President

Compliance, Control Room Compliance, Vice President  Salt Lake City, Utah, United States

Opportunity Overview  CORPORATE TITLE Vice President language OFFICE LOCATION(S) Salt Lake City assignment JOB FUNCTION Control Room  DIVISION Compliance Division

Global Compliance

Our 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; 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.

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 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.

• Interacting with the Investment Banking, Asset Management (Public/Private) and Global Markets 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 Resolution Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities

• 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

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

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