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Compliance Division, Private Wealth Management (PWM) Compliance, Executive Director/Vice President, Hong Kong
Goldman Sachs
Hong Kong, , Hong Kong
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Compliance Division, Private Wealth Management (PWM) Compliance, Executive Director/Vice President, Hong Kong
Job id 43560 Location Hong Kong Full/Part Time Full-time
Job Summary & Responsibilities
As a member of the PWM Compliance team in HK, you will be working closely and providing on-going advice to the PWM business and PWM Management; assist them in analyzing compliance issues applicable to the business, reviewing business opportunities from a compliance perspective and addressing regulatory inquiries and handling client issues.
The successful candidate will be primarily responsible for providing compliance coverage for the HK PWM business, and will also be involved in driving forward regional strategic business initiatives and projects. In addition to working with counterparts in PWM compliance within Asia and in other regions, you will be working closely with different federation departments across the firm such as other Compliance functions, Legal, Internal Audit and Operations.
Your responsibilities will include:
·Address day-to-day questions and issues that arise in the PWM business, including on product suitability, client background and suitability assessment and risk profile evaluations
·Develop appropriate framework for distribution of products to PWM clients
·Refine compliance program and surveillance tools which enables compliance to conduct in depth review
·Work with Legal and other Compliance functions on regulatory inquiries and client issues
·Develop, implement and provide training on relevant policies and procedures in compliance with relevant regulations and firm policies/initiatives to the PWM business
Basic Qualifications
·University degree holder/relevant professional or industry qualification.
·At least 5-7 years relevant experience; preferably in compliance/control function. Regulatory/auditing background will also be considered
·Good understanding of the regulatory framework for the private client business, and products
·Strong analytical skills and ability to exercise judgment and manage execution under pressure
·Experience in surveillance, operational flow of products and system knowledge is an advantage
·Energetic, attentive to detail and capable of multi-tasking in a fast-paced environment
·Candidates must have excellent interpersonal skills and the ability to work effectively in a team-oriented setting, prioritize projects to meet tight deadlines. The candidate must be able to work independently with limited supervision
·Strong oral and written communication skills. Must be fluent in English and Cantonese.
Preferred Qualifications
·Ability to read and write Chinese is preferable
Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2016. All rights reserved.