1. Search Results

  2. Goldman Sachs Compliance- 2nd Round

    I got through to the 2nd round for a compliance position in NY. The first one interview mainly involved of fit, compliance scenario questions and why GS. I was just wondering if anyone knew what to expect in a 2nd round interview. I feel this will be the ...

    40 comments - 0 silver bananas - Mar 25 2013 - 1:10pm -

  3. Bank CEOs To Guarantee Compliance?

    Who's ready to watch Lloyd Blankfein pinky swear that Goldman Sachs will do no evil? That's what's in store for investment bank CEOs if the Financial Stability Oversight Council has their way. In a proposal released this week, the FSOC is f ...

    25 comments - 1 silver bananas - Jan 20 2011 - 5:19am -

  4. Forget IBD, get your PhD

    The Nobel Prize. Once an everlasting testament to human intellectual innovation. A beacon of hope, a searchlight though the clouds over our mind's eye. Today, more akin to an online diploma from a for-profit university. A lifetime achievement Oscar f ...

    25 comments - 0 silver bananas - Oct 11 2010 - 11:48am -

  5. Kobe and Compliance

    Compliance is one of those fine print realities of working in finance. I can't count the amount of times a future monkey's excitement was dashed to dust at the realization that his master plan was actually a misuse of proprietary info. Any job a ...

    21 comments - 0 silver bananas - Apr 16 2011 - 2:10pm -

  6. 4 interviews at Goldman Sachs & no word since....

    I'm a little frustrated. I've had 4 excellent interviews with Goldman Sachs for a compliance role. They went very well, and all 4 of the interviewers really liked me, as they mentioned it, communicated that I gave excellent answers, etc. I follo ...

    23 comments - 0 silver bananas - Apr 18 2013 - 9:17pm -

  7. How can I move from compliance to M&A

    So I successfully landed a temp role in compliance at a major investment bank. Although the work is interesting, its not ultimately where I wanted to be. I took this job because I really had no internships while I was getting my MBA. So now, I'll be ...

    18 comments - 0 silver bananas - Apr 17 2013 - 5:50pm -

  8. Compliance

    Have a family friend who was high up in Legal of a bunch of BB's. He is really pushing me to go into Compliance. What are some exit ops of compliance, benefits of being in compliance? He says very steady career, get certs and become an asset. My worr ...

    11 comments - 0 silver bananas - Jul 20 2015 - 1:49pm -

  9. Offer at BB, opportunity to work on trading desk in spring

    Hello everyone, I signed an offer to a B this past October. I have an opportunity to work at a trading desk at a competing bank (not bb, but still well-known) this spring. I've always wanted to work on a trading floor and the product this desk focuse ...

    11 comments - 0 silver bananas - Oct 28 2014 - 10:43am -

  10. Idiotic Compliance Training

    I'm forced to deal with this shit at the end of every quarter and it's just so frustrating. We have to take a series of online courses on the usual bullshit topics-- sanctioned countries, money laundering, etc. The worst part is there's a q ...

    9 comments - 1 silver bananas - Jul 3 2015 - 4:27am -

  11. How competitive are back office summer analyst positions?

    I'm a sophomore who will be applying for Summer 2019 Legal/Compliance Summer Analyst positions in the upcoming months. I want to get a better sense of how competitive back office positions generally are at places like Morgan Stanley, Goldman Sachs, a ...

    6 comments - 2 silver bananas - Feb 12 2018 - 11:04am -

  12. Offer selection: IB compliance v.s. Bloomberg sales

    Hi all, I just got offers from these two sides. any insights about the career prospect in either path? thanks so much! bloomberg compliance ...

    9 comments - 0 silver bananas - Dec 1 2013 - 9:54am -

  13. Good Idea or Bad Idea?: Setting up Scottrade Account One Month Before IB Stint

    I want to set up a ~5- 10k account with Scottrade in the next few days and my IB job starts in late July. My plan is to invest in 5-8 stocks I think are undervalued and just hold on to them for the long-run. Is this a bad idea from a compliance perspectiv ...

    8 comments - 0 silver bananas - Jun 7 2012 - 12:46am -

  14. Could a parent's occupation be an issue for compliance/should I declare it?

    Will be doing a summer internship in a BB. One of my parents is restricted from investing in certain financial products due to their occupation. I won't have any contact with the products in question (let alone any decision-making power) and the comp ...

    5 comments - 1 silver bananas - Sep 13 2016 - 3:41pm -

  15. Consulting vs Compliance vs Being Jobless

    WSO, I need some advice. And sorry, this is long. So I spent a couple of years working in-house at a large investment bank in their compliance department directly supporting their investment banking and capital markets groups. Then I made a jump over to a ...

    6 comments - 0 silver bananas - Apr 26 2011 - 9:00pm -

  16. Compliance... do they generally monitor bloomberg msgs?

    Anyone have any knowledge of this? Thx in advance. compliance ...

    6 comments - 0 silver bananas - Mar 4 2011 - 2:30pm -

  17. Advice on getting a compliance summer analyst position?

    Hi all, I'm a sophomore looking for advice on how to get a Summer 2019 Legal/Compliance Summer Analyst position. Some background info: I'm double majoring in finance and history. My GPA is in the 3.0-3.5 range (I know, I know, working on it) and ...

    4 comments - 1 silver bananas - Jan 24 2018 - 9:07pm -

  18. Very quick question: Personal email to work email

    Sending PE prep materials with excel attachments to my work email from my personal email. Any reason not to do this? I know the other way is a big no no (work to personal), but just want a sanity check on this one after hearing some of the compliance stor ...

    5 comments - 0 silver bananas - Dec 31 2014 - 3:37pm -

  19. You're smarter than me, so point me in the right direction

    I'm finishing up my Bachelor of Commerce in Finance and looking to land a job in the compliance/investigations/business analysis area. Most companies are only hiring candidates who have strong backgrounds in financial analysis and/or who possess &quo ...

    5 comments - 0 silver bananas - Mar 29 2012 - 12:38am -

  20. Really need help/advice! How to convince compliance to approve my outside account!

    I really need help on this one.... what are the convincing arguments to let compliance approve your outside PA? I don't want to have to move my account into my firm, so they can charge me 5x commissions and totally bend me over. I was thinking about ...

    5 comments - 0 silver bananas - Sep 22 2010 - 1:36pm -

  21. Career Path Advice- Compliance- KYC Officer

    I recently got a job offer at a big four bank as an KYC officer in their Funds Group. Can anyone give advice on salary I should shoot for (and the long-term potential), typical annual bonus amount, and career path trajectory? Feel free to offer any advice ...

    4 comments - 0 silver bananas - Jun 25 2014 - 8:56pm -

  22. Conflict of Interest: Writing Seeking Alpha article on same company you will be working for

    All, John Cena back in the ring. I was lucky enough to accept a 2018 IBD summer analyst offer in NY at a mid-tier BB (BAML / Citi /CS). Rough recruiting process and many botched interviews but by the grace of God I was able to land an offer. " There ...

    3 comments - 3 silver bananas - Jan 15 2018 - 11:05pm -

  23. Two Offers..which to take???

    I'm a non-target MBA student. To make a long story short, I've been trying to get some insight into the career options that I have. I can get a job in BO, most likely in Compliance for a BB. I know what it entails, and so do most of you. So that ...

    4 comments - 0 silver bananas - Dec 2 2010 - 8:57am -

  24. Compliance Analyst at TOP 5 IB bank, yet I feel shit?

    Hi, I have recently been offered a job at a top IB bank in the compliance division. The programme is rotational so I will be assigned to a front desk (not sure which I would prefer-- I am learning towards IB, Asset Management etc) whatever happens I am KE ...

    3 comments - 0 silver bananas - Mar 26 2016 - 4:00am -

  25. Compliance and brokerage accounts

    Hi, compliance ...

    3 comments - 0 silver bananas - Jul 1 2015 - 3:10am -

  26. Personal Accounts: Rule 407 and You

    Well, thanks to one particularly interesting post on needing advice on how to address his issue with being "Let Go" posted here on WSO by Valuetrader400, I thought it would be a nice thing to explain something called NYSE Rule 407 to all of you ...

    3 comments - 2 silver bananas - May 1 2016 - 6:01pm -

  27. M&T Bank Internship

    What is the possibility of getting an internship as a sophomore at M&T Bank from a semi-target school? I am interested in compliance Internship sophomore compliance M&T Bank ...

    3 comments - 0 silver bananas - Mar 25 2014 - 3:03am -

  28. website/blog compliance

    Hi all, I'm wondering if anyone has any experience with publishing research online and how to make it comply with SEC/FINRA regulations, specifically 17-4a and 17-3a. We're trying to ramp up some online distribution tools, the first foray being ...

    3 comments - 0 silver bananas - Nov 11 2009 - 2:16pm -

  29. GMP Compliance Software

    I am looking for a GMP (good manufacturing practice) compliance software that would help us in complying with our GMP audit. Once that can also help us with event detection, event correction and continuous improvement. Any suggestions? GMP good manufactur ...

    2 comments - 0 silver bananas - Feb 18 2017 - 11:23pm -

  30. Licenses/Courses Required to Trade Equities in Canada

    What licesnses/accredidations/courses are required to trade equities at a Canadian Broker. I know the following are required CSC- Canadian Securities Course CPH- Conduct and Practices compliance ...

    2 comments - 0 silver bananas - Aug 25 2012 - 8:44pm -

  31. Ops Business Analyst vs Compliance Advisory

    Hi all, I am currently working in the Asset Management Operations as a business analyst which take care on risk/control related topics and project manager on Ops related initiative. Currently there is an outside job opportunity as a Compliance Advisor whi ...

    - 0 silver bananas - Jun 18 2017 - 10:54am -

  32. Anyone here in Compliance?

    Hi WSO, My buddy is a senior in college at a target, and is looking into opportunities after graduation. He's looking into consulting, considering finance, and is ultimately looking to go to law school--- I thought compliance might be a fit for him. ...

    1 comment - 0 silver bananas - Sep 1 2016 - 11:23pm -

  33. Post-undergrad plans-- Compliance vs. Corporate Finance (law school vs. eventual MBA)

    I'm a rising senior majoring in finance and I'm trying to decide what I want to do after I graduate. My GPA and resume are primed for a F500 corporate analyst spot. However, I'm exploring an interest in compliance as well. I'm starting ...

    - 0 silver bananas - Aug 12 2016 - 8:18pm -

  34. Goldman Sachs Compliance Analytics

    Hi, has anyone worked in or know anything about Goldman Sachs Compliance Surveillance Analytics group in NYC? Just wondering the types of work that they do, and how technical the work is (in terms of statistical knowledge, big data tools, data science and ...

    - 0 silver bananas - Feb 21 2016 - 1:45pm -

  35. Deutsche Bank- Compliance Analyst Interview

    Hello, I was just wondering if any of you have been to a first round compliance analyst interview at DB? If so, what kind of questions did they ask? I promise to do a review after I finish the interview to help other candidates. Deutsche Bank compliance L ...

    - 0 silver bananas - Nov 20 2015 - 3:11am -

  36. Help Transitioning From Compliance to Above and Beyond

    Hello everyone. Intro: I'm in my late 20's living in a mid-sized city and currently working within compliance in an insurance company. I majored in Finance in a non-target, worked in commercial lending as an analyst for a year, self-employed for ...

    - 0 silver bananas - Jul 14 2015 - 5:50pm -

  37. Greetings, from cubsfanatic8228

    Hello! I have mostly posted on Monkey Around and a few other forums here and there. But figured I might as well post here for a brief intro for what it is worth. I graduated from a non-target in 2011 looking to get into AM. Spent a year and a half in Back ...

    1 comment - 2 silver bananas - Jul 20 2015 - 1:46pm -

  38. GS Associate Salary

    Hi all, I'm looking for some info on Goldman's salary range + bonus in Salt Lake City. In particular, it's for a Compliance Associate role. I've checked glassdoor and reached out to some friends but I can't find any decent data. A ...

    1 comment - 0 silver bananas - Aug 31 2014 - 7:17pm -

  39. Control Room Specialist Interview

    Hi, I have an interview to work in a control room at a reputable bank and was hoping someone could give me some salary information for the role (I was asked to give salary requirements). I do not really have experience but do have a good number of educati ...

    - 0 silver bananas - Apr 12 2014 - 3:49pm -

  40. Landing a compliance job in NYC

    Okay I made the mistake of quitting my last job due to frustration and without a game plan or a job to go into. I've been out of work for about 2 months now and its getting to me. I'm desperate to land a compliance gig in NY so I was hoping some ...

    - 0 silver bananas - Apr 1 2014 - 11:43am -

  41. TIAA-CREF Employment Application

    Hi there, A friend of mine seems to be in the final stages of the recruitment process at TIAA-CREF and he was told that "your application is complete and is now being sent to Compliance." He was involuntarily terminated from another financial se ...

    - 0 silver bananas - Nov 20 2013 - 9:16pm -

  42. Compliance Mobility at HF/AM/IA

    I was wondering if anyone could provide insight for Compliance and back office jobs in regards to mobility working at a hedge fund, Asset Management or investment advisor firm. I have an opportunity to move to one of those 3 and wanted to make sure it wou ...

    1 comment - 0 silver bananas - Jun 20 2013 - 12:33pm -

  43. Questions regarding Roth IRA / ESA disclosure

    Hey guys, Incoming SA here with two quick questions. I'm going through the paperwork for compliance, and there's a form to disclose any brokerage accounts that I may have in my name. 1) My parents set up a Roth IRA brokerage account for me when ...

    1 comment - 0 silver bananas - May 6 2013 - 8:04pm -

  44. Need career advice / decision help.

    Hey Everyone- long time reader here. Quick background on me. CUNY, 3.1 GPA, Econ Major, studying for gmat, been working in Compliance at Top BB, doing AML/Risk related analysis/investigations/trade surveillence. Prop traded previously for 6 months at no n ...

    - 0 silver bananas - Jun 16 2011 - 8:17pm -

  45. Job Offer- Trading Path??

    I got a job offer recently from the National Futures Association. They are essentially the FINRA of the futures/commodities industry. I've been having trouble landing finance jobs and only have offers in major insurance broking or this. Does anyone k ...

    1 comment - 0 silver bananas - Mar 23 2011 - 4:34pm -

  46. Compliance question

    I created a new account to ask this question for obvious reasons. Is it actionable (in a legal sense) if an independent ER firm (that also has a wealth management arm) is pushing products (mostly ETFs that they both control and generate) on clients regard ...

    1 comment - 0 silver bananas - Jan 20 2011 - 7:27am -

  47. Hedge Fund Compliance Publications

    Hey guys, Does anybody know of any publications / periodicals that deal with hedge fund compliance issues? compliance ...

    - 0 silver bananas - Dec 10 2010 - 3:48pm -

  48. PE Compliance Role

    Hi, I'm probably going to get flamed a few times for mentioning PE and Compliance in the same sentence, but here is my question: what kind of compensation can a Compliance professional expect at a top-tier PE firm (Blackstone, KKR, Carlyle, Bain, etc ...

    - 0 silver bananas - Sep 17 2010 - 8:09pm -

  49. Compliance procedures and policies

    It has been bestowed upon me to create some compliance guidelines and procedures for our firm. Any idea where to start? Is there a website with examples? Thank you compliance ...

    - 0 silver bananas - Apr 30 2010 - 5:23pm -

  50. Ubs compliance superday-hear back?

    Anyone hear back for SA? UBS compliance ...

    1 comment - 0 silver bananas - Apr 7 2010 - 2:53pm -

  51. Compliance Department of BB

    I have interview coming up with the Compliance Department of BB, pleeease help with some information as to what i can expect with the whole process, including interivew questions, are they substantive in nature or more about teasers. thanks. interview com ...

    1 comment - 0 silver bananas - Mar 21 2010 - 5:43am -

  52. Personal account-- getting on the share register

    Hi this is a question for those of you running personal accounts on the side. At the moment all I want to do is buy a certain company's stock, and hold it for the forseeable future (long term). However I want to be sure that I am on the company' ...

    1 comment - 0 silver bananas - Dec 29 2008 - 11:53pm -