Compliance Division, Control Room Compliance, Analyst, Sydney

Job description

Job Summary & Responsibilities

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Sydney.  There are 6 Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, 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 corporate advisory side businesses and public side businesses.

• Interacting with the Investment Securities Divisions (SD) and Asset Management (GSAM) and Corporate Advisory businesses 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 (GIR) to ensure compliance with certain legal and regulatory obligations
• Responding to queries from traders and sales people relating to trading restrictions
• Applying the Global Research Settlement rules and Firm’s policies to monitor, pre-approve and facilitate communications between Equity Research and Corporate Advisory personnel
• Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities

Basic Qualifications

• Undergraduate degree with minimum of 1-2 years relevant working experience
• 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

Preferred Qualifications

• Compliance or legal-related experience in financial services industry preferred

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2016. All rights