Compliance, Control Room, Associate/Vice President, Sydney
Goldman SachsGLOBAL COMPLIANCE
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 defense, 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 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., 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, Asset Wealth Management, and other business divisions in order to maintain the Firm’s Restricted Trading List, Confidential Lists and other information 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
- Reviewing research publish by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
- Applying the Global Research Settlement rules and Firm’s policies to monitor and facilitate communications between Equity Research and Corporate Advisory personnel
- Managing the Firm’s bespoke Materiality Checking process, working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
- Working with cross regional team members on internal enhancement projects
BASIC QUALIFICATIONS:
- Undergraduate degree with minimum 3 years of compliance experience with Control Room or private side compliance preferred or legal-related experience in financial services industry
- Possess a strong understanding of the Corporate Advisory business, 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 and fast-paced environment
- Detail-oriented with ability to multitask, organize and prioritize
- Experience in owning a workflow process and providing training and ongoing guidance
- Proficient in using Microsoft Office products, tools, and utilities for business use
ABOUT GOLDMAN SACHS
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