Compliance, Control Room, Vice President, Birmingham

Goldman Sachs Group, Inc.; Birmingham; On-site; GBP 100,000 - 125,000; Full time

Job summary

A leading financial services firm is seeking a Vice President in Compliance for their Birmingham office. The role involves ensuring adherence to regulatory standards and managing confidential information flow within the firm's divisions. Candidates must have 8+ years of compliance experience, particularly in control room settings, along with strong knowledge of investment banking and securities regulations. The firm offers a comprehensive benefits package, including vacation policies and health benefits.

Benefits

Competitive vacation policies

Health and fitness benefits

Child-care centers

Qualifications

• 8+ years of compliance experience with control room and/or private side compliance.
• Strong understanding of the current regulatory environment and financial markets.
• Excellent verbal and written communication skills.

Responsibilities

• Maintain the Firm's Confidential Lists.
• Ensure compliance with legal and regulatory obligations.
• Manage and facilitate approval for firm and client transactions.

Skills

Compliance experience in financial services

Understanding of Investment Banking & Securities

Strong communication skills

Ability to work in a fast-paced environment

Education

College or university graduate

Tools

Microsoft Office

Automation and analytics tools (Alteryx, Tableau)

Job description

Compliance, Control Room, Vice President, Birmingham

Birmingham, West Midlands, England, United Kingdom

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

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 an added advantage
• Knowledge of US Securities laws including SEC Reg M, SEC Rules 14e‑5, 144A and Reg D etc

Benefits

We offer competitive vacation policies, financial wellness, health and fitness benefits, child‑care centers and a comprehensive range of class‑leading benefits. Learn more about the full suite of benefits our firm has to offer.

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

• Locations: Birmingham, West Midlands, England, United Kingdom