Compliance, Control Room, Vice President, Birmingham

Goldman Sachs Bank AG; Birmingham; On-site; GBP 70,000 - 90,000; Full time

Job summary

A global investment banking firm is seeking an experienced compliance officer for their Birmingham office. This role entails monitoring and controlling the flow of confidential information, ensuring compliance with legal obligations, and liaising with various divisions. Candidates should have over 8 years of compliance experience in financial services, strong knowledge of investment banking, and excellent communication skills. The position promises a dynamic and high-pressure working environment.

Benefits

Diversity and inclusion programs

Training and development opportunities

Wellness and personal finance offerings

Qualifications

• 8+ years of compliance experience in financial services, with control room and/or private side compliance background essential.
• Strong understanding of the current regulatory environment and financial markets.
• Ability to work in a high-pressure, fast-paced environment.

Responsibilities

• Interact with Global Banking & Markets and Asset Wealth Management Divisions to maintain Confidential Lists.
• Review research for compliance with legal obligations.
• Liaise with Legal to monitor and restrict trading activities.

Skills

Compliance experience

Strong understanding of Investment Banking

Excellent communication skills

Proficient in Microsoft Office

Education

College or university graduate

Tools

Alteryx

Tableau

Job description

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 defence, 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.

RESPONSIBILITIES AND QUALIFICATIONS

The Control Room, part of Global Compliance, is seeking a compliance officer for a role in Birmingham. 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., Global Banking & Markets Private, and Asset Wealth Management Private, Finance and Risk) and public side businesses (e.g., Global Banking & Markets Public, Asset Wealth Management Public 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 the business areas at the firm dealing with trading and research as to the applicability of those restrictions.

PRINCIPAL RESPONSIBILITIES

• Interacting with the Global Banking & Markets and Asset Wealth Management Divisions to maintain the Firm's Confidential Lists
• Reviewing research published by Global Investment Research 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 Global Banking & Markets Private personnel
• Manage the Firm’s bespoke Materiality Checking process, working with the Conflicts Resolution Group, to facilitate approval for certain Firm and client transactions and subsequent risk management activities

BASIC QUALIFICATION

• College or university graduate with 8+ years of compliance experience in financial services, with control room and/or private side compliance background essential
• Strong understanding of Investment Banking & Securities business and products
• Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Proficient in using Microsoft Office products, tools, and utilities for business use
• Excellent verbal and written communication skills
• Ability to work as a member of a team in a high-pressure, fast-paced environment

PREFERRED QUALIFICATION

• Ability to work with automation and analytics tools (Alteryx, Tableau, Databases)
• Passed CFA Level 1 or higher is added advantage
• Knowledge of US Securities laws including, SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc

ABOUT GOLDMAN SACHS

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. Learn more about our culture, benefits, and people at GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html