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Compliance, Securities Division Compliance, Control Room, Vice President
Goldman Sachs
Hong Kong, , Hong Kong
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Job Summary & Responsibilities
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Hong Kong. The Hong Kong Control Room is 1 of 6 Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, Hong Kong, Tokyo and Sydney).
The Control Room is primarily responsible for preserving the integrity of the Firm’s information barriers by monitoring and controlling the flow of confidential information between the Firm’s advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).
Responsibilities
• Interacting with the Investment Banking Division (IBD), Merchant Banking Division (MBD), Securities Divisions (SD) and Asset Management (GSAM) in order to maintain the Firm’s Confidential Lists, Restricted Trading List and other control lists
• Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
• Reviewing research publish by the Global Investment Research Division (GIR) to ensure compliance with certain legal and regulatory obligations
•Applying the Global Research Settlement rules and Firm’s policies to monitor, pre-approve and facilitate communications between Equity Research and IBD personnel
•Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
Basic Qualifications
• Minimum of 4 years experience of Compliance or Legal-related experience in financial services preferred
•Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
•Proactive and willing to take on issues/responsibilities that require focus and determination
•Ability to work as a member of a team in a fast-paced environment
•Detail-oriented with ability to multitask, organize and prioritize
Preferred Qualifications
•Written and verbal communication skills in English and Cantonese. Mandarin is a plus