Compliance Division, Securities Division Compliance (SDC), Analyst or Associate, Seoul
- Seoul, South Korea
GSKO Compliance in Korea provides compliance coverage and support to the Division's business units in GSKO, the broker-dealer entity in Korea. GSKO Compliance also works closely with other firm departments, such as Legal, Technology, Operations, Finance, and Internal Audit. This is a mainly a trading floor-based compliance function providing real time support to the equities sales/trading business, but also covers other central compliance functions in GSKO.
RESPONSIBILITIES AND QUALIFICATIONS
HOW YOU WILL FULFILL YOUR POTENTIAL
The Compliance function consists of 5 pillars: advisory, training, surveillance, policy & procedures and regulatory interface.
- Provide coverage for the equities sales/trading businesses in their day to day business operations
- Conduct various trade surveillances and programmatic reviews
- Handle individual registration
- Conduct regular compliance training for new hires.
- Preparing and filing regulatory reports and other management reports
- Maintenance of policies and procedures
- Support senior compliance management in handling regulatory and internal investigations/audits
SKILLS & EXPERIENCE WE'RE LOOKING FOR
- Minimum of 2 years experiences in financial industry
- Fluency in both Korean and English
- Effective communication and project management skills
- Strong analytical skills and ability to exercise judgment and manage execution under pressure
- Inquisitive and proactive in identifying risks and proposing solutions
- Control function experience covering Equities sales and trading in the Korea market preferable
- Working knowledge in Korea securities regulations, exchange rules on listed securities, futures and derivatives
ABOUT GOLDMAN SACHS
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.
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