
Compliance-Bengaluru-Associate-Control Room
4 days ago
- Interacting with the Investment Banking, Global Markets and Asset Management Divisions 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 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
- A postgraduate in MBA (Finance) or equivalent from a Tier 1 or Tier 2 university, or a graduate from any college/university who have passed CFA Level 1 or higher.
- Need to have minimum 4 years of experience working in financial servicing firms like investment bank, broker-dealer, PE/VC or similar buy side/sell side firms.
- Need to demonstrate strong understanding of, 1) Financial markets & 2) Functions of a full-service Investment Banking firm
- Proficient in using Microsoft Office products, tools, excellent verbal and written communication skills & ability to work as a member of a team in a high-pressure, fast-paced environment
- Candidate with relavant work experience (in the Control Room and/or private side compliance)
- Candidates with experience in managing insider trading risk and/or experience in regulations securities laws including SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc
- Candidates with experience in automation and analytics tools, Alteryx Core designer certified or Tableau/SQL certified or equivalent Data Analytics certificates
Goldman Sachs
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Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeJob Purpose:This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning, hedge fund procedures, data room access administration and Vendor checks• One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all investigations are...
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