Goldman Sachs · 5 months ago
Compliance-Salt Lake City-Associate-Control Room
Salt Lake City, Utah, United States
Full-time
Onsite
Mid Level
3+ years expGoldman Sachs is a leading global investment banking, securities and investment management firm. They are seeking a compliance officer for the Control Room in Salt Lake City, responsible for preserving the integrity of the firm’s information barriers and ensuring compliance with legal and regulatory obligations in banking transactions.
BankingFinanceFinancial ServicesVenture Capital
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 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
Qualification
Required
A postgraduate in MBA (Finance), or a graduate from any college/university who have passed CFA Level 1 or higher
Need to have minimum 3 years of experience working in financial servicing firms like investment bank, broker-dealer, PE/VC or similar buy side/sell side firms
Need to demonstrate strong understanding of, 1) Financial markets & 2) Functions of a full-service Investment Banking firm
Proficient in using Microsoft Office products, tools, excellent verbal and written communication skills & ability to work as a member of a team in a high-pressure, fast-paced environment
Preferred
Candidate with relevant work experience (in the Control Room and/or private side compliance)
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
Company
Goldman Sachs
Goldman Sachs is a multinational financial services firm providing securities, investment banking, and management services.
10001+ employees
H1B Sponsorship
Goldman Sachs has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (1954)
2024 (1685)
2023 (2060)
2022 (2326)
2021 (2258)
2020 (1572)
Funding
Current Stage
Public CompanyTotal Funding
$6B2025-04-23Post Ipo Debt· $6B
2012-06-05Post Ipo Equity
1999-05-14IPO
Leadership Team
David M. Solomon
Chair and Chief Executive Officer
John Waldron
President and Chief Operating Officer
Recent News
2026-01-25
2026-01-25
2026-01-24
Company data provided by crunchbase