Compliance, Control Room Compliance, Vice President

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in New York. The New York Control Room is one of seven Goldman Sachs Control Rooms globally (including Salt Lake City, 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.

Principal Responsibilities:

• 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
• Interacting with the Investment Banking, Asset Management (Public/Private) and Global Markets in order to maintain the Firm's Confidential Lists
• 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
• Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations

Basic Qualifications:

• Experience with training, motivating, and supervising junior team members
• Ability to work as a member of a team in a high-pressure, fast-paced environment
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Undergraduate, MBA, or law school graduate with at least 5 years of compliance or legal-related experience in financial services preferred
• Detail-oriented with ability to multitask, organize and prioritize
• Excellent verbal and written communication skills
• Proactive and willing to take on issues/responsibilities that require focus and determination
• Experience in owning a workflow process and providing training and ongoing guidance
• Experience providing quality control reviews

Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here .