Details of the Organization

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. 

Details of the Job/Internship

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). 

Role and 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

Eligibility

Basic Qualifications:

• College or university graduate with 8+ 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 

Salary/Stipend

The salary will be discussed with the candidate itself.

Type of Opportunity

Fulltime

Country

India

State

Karnataka

City

Bengaluru

Address

Bengaluru, Karnataka