Bengaluru Karnataka Compliance control room Jobs – 222 Open Jobs Today

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Compliance-Control Room-Vice President- Bengaluru

Goldman Sachs -
Bengaluru, Karnataka

Apply Now

Job details

Internship
12 days ago

Benefits

Health insurance

Qualifications

Economics
Securities & Exchange Commission
Alteryx
Microsoft Office
Tableau
Finance
Master's degree
SQL
Bachelor's degree
Risk management
Data analytics
Financial services
Business Administration
MBA
Communication skills

Full job description

GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

RESPONSIBILITIES AND QUALIFICATIONS

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, Birmingham, New York, 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 private/advisory side businesses (e.g., Investment Banking, and Merchant Banking, Finance and Risk) and public side businesses (e.g., Securities, Asset Management, Private Wealth Management, and Global Investment Research). Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.

Principal 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

Minimum Qualifications:

Education: Bachelor’s degree in finance, Economics, Business Administration, Law, or a related field; an advanced degree (MBA, M. SC. Finance, CFA Level I or II) is a plus
Experience:
- A minimum of 5-7 years of direct experience in financial services, with internships or professional experience in compliance, risk management, or a related control function.
- Direct experience (4+ years) in a Compliance Control Room or Private side Compliance
- Proven ability to provide strategic guidance on complex compliance matters to team members and senior management.

Preferred Qualifications:

Candidates with experience in managing insider trading risk and/or experience in regulations securities laws including SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc
Candidates with experience in automation and analytics tools, Alteryx Core designer certified or Tableau/SQL certified or equivalent Data Analytics certificates
Candidates with experience documenting technical processes, product specifications, user manuals

Candidates need to demonstrate below skills in Interview at the minimum:

Strong understanding of, 1) Financial markets & 2) Functions of a full-service Investment Banking firm
Proficiency in using Microsoft Office products, excellent verbal and written communication skills & ability to work as a member of a team in a high-pressure, fast-paced environment
Ability to work as a member of a team in a high-pressure, fast-paced environment

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. 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. : https://www.goldmansachs.com/careers/footer/disability-statement.html

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

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Holiday & Vacation Policies

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.

Opportunity Overview

CORPORATE TITLEVice President

OFFICE LOCATION(S)Bengaluru

JOB FUNCTIONControl Room

DIVISIONCompliance Division

Apply Now

Refine Your Search

compliance control room jobs in bengaluru karnataka

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