Compliance - Control Room - Associate- Bengaluru

Location(s) IN-KA-Bengaluru
Job ID
2021-80519
Schedule Type
Full Time
Function(s)
Compliance
Region
India
Division
Compliance
Business Unit
Control Rm
Employment Type
Employee

MORE ABOUT THIS JOB

Business Unit and Role Overview

 

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role. There are eight Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, Warsaw, Hong Kong, Tokyo, Sydney and Bengaluru).

 

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 advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).

RESPONSIBILITIES AND QUALIFICATIONS

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 advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).

 

Responsibilities include:

  • Interacting with the Investment Banking Division (IBD), Merchant Banking (MBD), Securities and Asset Management (GSAM) in order to maintain the Firm’s Confidential Lists, Restricted Trading List and other 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
  • Responding to queries from traders and sales people relating to trade restrictions
  • Reviewing research publish by the Global Investment Research Division (GIR) to ensure compliance with certain legal and regulatory obligations
  • Applying the Global Research Settlement rules and Firm’s policies to monitor, pre-approve and facilitate communications between Equity Research and IBD personnel
  • Working with the Conflicts Resolution Group to facilitate approval for certain firm and client transactions and subsequent risk management activities

 

Basic Qualifications:

  • 5+ year working experience with undergraduate degree
  • 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 fast-paced environment
  • Detail-oriented with ability to multitask, organize and prioritize
  • Compliance or legal-related experience in financial services preferred

ABOUT GOLDMAN SACHS

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.