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# Compliance, Control Room, Vice President, Birmingham

- **Company:** Descriptionour
- **Location:** Birmingham, UK
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Databases, Microsoft Office, Tableau (Software), Tools for Reporting, Alteryx
- **Published:** October 1, 2026
- **Apply:** https://www.apply4u.co.uk/jobs/compliance-control-room-vice-president-birmingham/49342327

## About the Role

Management Divisions to maintain the Firm's Confidential ListsReviewing research published by Global Investment Research to ensure compliance with certain legal and regulatory obligationsLiaising 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 considerationsApplying the Research Settlement rules to facilitate communications between Equity Research and Global Banking & Markets Private personnelManage the Firm's bespoke Materiality Checking process, working with the Conflicts Resolution Group, to facilitate approval for certain Firm and client transactions and subsequent risk management activitiesBasic QualificationCollege or university graduate with 8+ years of compliance experience in financial services, with control room and/or private side compliance background essentialStrong understanding of Investment Banking & Securities business and productsStrong understanding
of the current regulatory environment and financial markets and/or securities regulation and rulesProficient in using Microsoft Office products, tools, and utilities for business useExcellent verbal and written communication skillsAbility to work as a member of a team in a high-pressure, fast-paced environmentPreferred QualificationAbility to work with automation and analytics tools (Alteryx, Tableau, Databases)Passed CFA Level 1 or higher is added advantageKnowledge of US Securities laws including, SEC Reg M, SEC Rules 14e-5, 144A and Reg D etcGoldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law. #J-18808-Ljbffr

## Description

regulatory landscape.Responsibilities and QualificationsThe Control Room, part of Global Compliance, is seeking a compliance officer for a role in Birmingham. 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., Global Banking & Markets Private, and Asset Wealth Management Private, Finance and Risk) and public side businesses (e.g., Global Banking & Markets Public, Asset Wealth Management Public 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 the business areas at the firm dealing with trading and research as to the applicability of those restrictions.Principal ResponsibilitiesInteracting with the Global Banking & Markets and Asset Wealth