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Goldman Sachs

Advises on mergers and trades stocks and bonds

Control Room Associate

Regulatory Compliance & EthicsUpdated on Nov 15
Full-timeSalt Lake City, UT, USANo salary listedIn-person

About the Job

Requirements

  • A Master's degree (U.S. or foreign equivalent) in Finance, Economics, or a related field and one year of experience in the job offered or a related role, or a Bachelor's degree (U.S. or foreign equivalent) in Finance, Economics, or a related field and three years of experience in the job offered or a related role.
  • With a Master's degree, one year of experience, or with a Bachelor's degree, three years of experience, working with the business side to comply with internal stakeholder policies and procedures, including information barriers.
  • Experience applying a risk management framework to identify, assess, and mitigate financial and operational risk arising from trading.
  • Experience responding to inquiries from regulators and internal teams about policies, procedures, and transaction history.
  • Experience managing multiple tasks, meeting deadlines, and escalating when appropriate in a fast-paced environment.
  • Experience identifying and managing conflicts of interest with internal desks.

Responsibilities

  • Maintain the integrity of the Firm’s information barrier by monitoring the receipt and possession of material non-public information on both the private and public sides of the Firm’s businesses.
  • Work with deal team personnel to analyze the material impact of each active deal on tradable financial instruments based on financial calculations and company strategies.
  • Maintain an internal Firm database log of entries for each active deal involving material, non-public information, and record notes and summaries of related discussions and decisions in the database.
  • Interact with relevant internal stakeholders to maintain the Firm’s Confidential Lists, review transactions, and determine applicable legal and policy restrictions on securities sales, trading, and research activity.
  • Review investment research report drafts and financial models prepared by Global Investment Research, as well as proposed securities transactions from relevant internal stakeholders, to advise whether publication or sales and trading activity is permissible.
  • Apply the Global Research Settlement rules and associated Firm policies and procedures, and monitor communications between internal stakeholders.
  • Work with relevant internal stakeholders to facilitate review and approval for certain Firm and client transactions and subsequent risk management activities.

About the Company

Goldman Sachs

Advises on mergers and trades stocks and bonds

Goldman Sachs advises companies and governments on mergers, raises money for them by selling their stocks and bonds, and trades securities for big investors such as hedge funds and pension funds. It led Ford Motor's 1956 stock market debut, then the largest share sale in US history. Traders buy and sell stocks, bonds, currencies, and commodities for clients and lend them money, while bankers earn a fee on each deal they advise on or arrange. Its asset and wealth management arm invests for institutions and wealthy families and charges fees based on the money it oversees. The firm was founded in 1869, when it began brokering short-term IOUs for New York merchants, and it is based in New York City.

Company size
10,001+
Company stage
IPO
Headquarters
New York City, New York
Founded
1869

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