Global Compliance & Controls Associate

Goldman Sachs Group, Inc.; Salt Lake City (UT); On-site; USD 110,000 - 150,000; Full time

Job summary

Goldman Sachs is seeking an Associate for Compliance, Control Room in Salt Lake City. The role focuses on preserving information barriers, monitoring flows between advisory and public sides, and ensuring timely application of restrictions across divisions.

Ideal candidates will have 3+ years in compliance or legal roles within financial services, a solid understanding of regulatory environments, and excellent verbal and written skills.

Qualifications

• Recent college or law school graduate with 3 or more 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

Responsibilities

• 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

Skills

3+ years compliance experience

Regulatory knowledge

Excellent communication skills

Teamwork under pressure

Attention to detail

Education

Bachelor's or JD

Job description

Goldman Sachs is seeking an Associate for Compliance, Control Room in Salt Lake City. The role focuses on preserving information barriers, monitoring flows between advisory and public sides, and ensuring timely application of restrictions across divisions.

Ideal candidates will have 3+ years in compliance or legal roles within financial services, a solid understanding of regulatory environments, and excellent verbal and written skills.