Associate VP Compliance, Global Compliance Control Room – London – ECCUK47335

Posted 8 years ago

Job Summary & Responsibilities

Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. 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.


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 advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).


• Interacting with the Investment Banking Division (IBD), Merchant Banking Division (MBD), Securities Divisions (SD) and Asset Management (GSAM) in order to maintain the Firm’s Confidential Lists, Restricted Trading List and other control lists
• Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
• Reviewing research published by the Global Investment Research Division (GIR) to ensure compliance with certain legal and regulatory obligations
• Applying the Global Research Settlement rules and Firm’s policies to monitor, pre-approve and facilitate communications between Equity Research and IBD personnel
• Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management

Basic Qualifications


• Minimum of 4 years’ experience of Compliance or Legal-related experience in financial services preferred
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Proactive and willing to take on issues/responsibilities that require focus and determination
• Ability to work as a member of a team in a fast-paced environment
• Detail-oriented with ability to multitask, organize and prioritize

Preferred Qualifications

• Highly organized, attention to detail and excellent follow-through
• Demonstrated client service focus and ability to build relationships across different levels, functions and regions
• Results-oriented — ability to balance multiple, time-sensitive projects while maintaining a longer term, strategic focus


Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.

Job Features

Job CategoryCompliance
Job TypeFTE
Job LocationLondon

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