Compliance - Control Room - Vice President - Bengaluru

1 month ago

Bengaluru, India Goldman Sachs Full time
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.

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Bengaluru. This is one of eight Goldman Sachs Control Rooms globally (including Salt Lake City, London, New York, 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 (., Investment Banking, and Merchant Banking, Finance and Risk) and public side businesses (., Securities, Asset Management, 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: 

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 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

Basic Qualifications: 

College or university graduate with 4+ years of compliance experience in financial services, preferably with control room and/or private side compliance Strong understanding of Investment Banking & Securities business and products Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules Proficient in using Microsoft Office products, tools, and utilities for business use Excellent verbal and written communication skills Ability to work as a member of a team in a high-pressure, fast-paced environment

Preferred Qualifications:

Ability to work with automation and analytics tools (Alteryx, Tableau, Databases) a plus Passed CFA Level 1 or higher is added advantage Provided Compliance support to private side transactions 

Knowledge of securities laws including SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc
 

ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at /careers. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

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