Goldman Sachs（高盛）岗位：Compliance – Salt Lake City - Associate, Control Room – （Compliance Division）
Job Duties:Associate, Control Room with Goldman Sachs & Co. LLC in Salt Lake City, Utah. 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 side 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 a log of entries for each active deal that involves material, non-public information within an internal Firm database and record notes and summaries of these discussions and decisions within this same internal database. Interact with relevant internal stakeholders to maintain the Firm’s Confidential Lists and review transactions and ascertain 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.
Job Requirements:Master’s degree (U.S. or foreign equivalent) in Finance, Economics, or a related field and one (1) year of experience in the job offered or a related role OR Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, or a related field and three (3) years of experience in the job offered or a related role. Prior experience must include one (1) year of experience (with a Master’s degree) OR three (3) years of experience (with a Bachelor’s degree) with: working with Business side to be compliant with all internal stakeholder policies and procedures, including information barriers;
applying a risk management framework to identify, assess and mitigate financial and operational risk arising from trading;
responding to inquiries to regulators and internal teams about policies, procedures, and transaction history;
managing multiple tasks, operating within deadlines, and escalating when appropriate in a fast-paced environment;
and identifying and managing conflicts of interest with internal desks.
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