Compliance-Bengaluru-Associate-Control Room

4 days ago


Bengaluru, Karnataka, India Goldman Sachs Full time ₹ 10,00,000 - ₹ 25,00,000 per year
Job Description:RESPONSIBILITIES AND QUALIFICATIONSJob DescriptionPrincipal Responsibilities:
  • 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
Minimum Qualifications:
  • 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
Preferred Qualifications:
  • 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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