GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. 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.
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Global Banking & Markets-Public Compliance ("GBM Public Compliance") is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of Goldman Sachs FICC and Equities business units. The role is focused on providing Compliance coverage for the FICC business units (such as sales, trading, and strategist) and products (such as fixed income securities and credit derivatives, FICC-equity hybrid products, currencies, rates, commodities, mortgages, options, futures, and swaps). This is an opportunity for a responsible team player to work on challenging tasks and, depending on their particular responsibilities, interact with sales people and traders as well as other Goldman Sachs compliance and legal professionals, both in and outside of Hong Kong.
HOW YOU WILL FULFILL YOUR POTENTIAL
The primary responsibilities of GBM Public Compliance are:
- Primary coverage for and provide real-time compliance advice to Global Banking & Markets - FICC business units in APEJ on compliance issues regarding transactions, new products and business initiatives, errors, etc.
- Devise and implement strategic solutions with senior compliance team members and other control side departments to support the Compliance functions
- Assisting with the analysis, interpretation, and implementation of new rules/regulations
- Develop policies, procedures, and best practices for business units
- Develop, implement, and deliver compliance training
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary
- Identify and manage regulatory, legal and reputational risks
- Review and handle escalations from daily trade surveillance reports
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
- Dynamic individual with 4-6 years of compliance, legal, audit or other control function experience covering FICC and structured/ derivative products
- Working knowledge in HK and APEJ regional securities and/or banking regulations preferred
- A team player with strong communication and interpersonal skills, able to work well with people in the front office and support functions
- Strong analytical and organizational skills, ability to work independently under a fast-paced and pressured environment
- Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
- Proactive, self-motivated, assertive and well organized
- Attention to detail
- Flexible with the ability to multi-task
- Proactive approach to problem solving
- Fluency in English and Chinese both in written and verbal
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.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity