Compliance - Control Room - Analyst - Bengaluru

Goldman Sachs

The Goldman Sachs Bangalore Office

Bangalore is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centers of excellence that drive many critical businesses around the globe.

The Compliance Division has established a dynamic team of professionals in Bangalore. The Bangalore team plays a central role in the division’s global strategy to provide solutions to the firm’s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm’s regulatory and reputational risk management program.

Business Unit and Role Overview

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role. There are seven Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, Hong Kong, Tokyo, Sydney and Bengaluru).

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 advisory side businesses (e.g., Investment Banking, Growth & Corp Equity Investing, etc.) and public side businesses (e.g., Sales, Trading, Research, Private Wealth Management, etc.).

Responsibilities include : 

  • Interacting with the Investment Banking Division, Global Markets Division, Asset Management Division 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
  • Responding to queries from traders and sales people relating to trade restrictions
  • 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, pre-approve and 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

Basic Qualifications :

  • Minimum of 1 year working experience with undergraduate degree
  • Possess a general understanding of the 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 fast-paced environment
  • Detail-oriented with ability to multitask, organize and prioritize
  • Compliance or legal-related experience in financial services preferred

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

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 GS.com/careers. 

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2021. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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Confirmed 15 hours ago. Posted 13 days ago.

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