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Compliance Division, Securities Division Compliance, Vice President, Hong Kong
Goldman Sachs
Hong Kong, , Hong Kong
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Compliance Division, Securities Division Compliance, Vice President, Hong Kong
Job id 43530 Location Hong Kong Full/Part Time Full-time
Job Summary & Responsibilities
Securities Division Compliance (“SDC”) in Hong Kong provides compliance coverage and support to the Securities Division's business units in Hong Kong and across the Asia Pacific Ex-Japan region. SDC also works closely with other Compliance divisions and departments such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. This is a trading floor-based compliance function providing real time support to various businesses within Securities Division. The role also involves driving forward strategic business initiatives and projects.
Responsibilities
• Primary coverage focused on Securities Division (both Equities and FICC sales and trading) in their day to day business operations, providing advice on individual transactions, new products and business initiatives
• Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the APEJ region in order to assist the firm in avoiding economic, regulatory/legal liability and reputational risk
• Devise and implement strategic solutions with senior compliance management and other control side departments to support the Compliance functions
• Develop policies, procedure and best practices for business units
• Conduct Compliance training to Securities Division professionals
• Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary
Basic Qualifications
• Dynamic individual with 4-5 years of compliance, legal, audit or other control function experience covering Equities and/or FICC products. Derivatives experience is preferred
• Working knowledge in HK and APEJ regional OTC and listed securities regulations. Knowledge of exchange rules and/or HKMA requirements is not mandatory but an advantage
• A team player with effective communication and interpersonal skills, able to work well with people in the front office and support functions
• Strong analytical and organizational skills, able to multi-task and manage execution under a pressured environment
• Inquisitive and proactive in identifying risks and proposing solutions
Preferred Qualifications
• Fluency in reading and speaking Chinese is a plus
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