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Compliance division, Securities Division Compliance, Equity Compliance, Associate/Vice President, Tokyo
Goldman Sachs
Tokyo, , Japan
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Job Summary & Responsibilities
The Goldman Sachs Group is a bank holding company and a leading global investment banking, securities and investment management firm. Goldman Sachs provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. We are committed to growing our distinctive Culture and upholding our core values which always place our client's interests first. These values are reflected in our Business Principles, which emphasize integrity, commitment to excellence, innovation and teamwork.
Securities Division Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the Securities Division.
This role will primarily focus on providing compliance coverage over the automated and electronic trading activities within the Securities Division business, in accordance with relevant regulatory requirements, and the internal governance, committee and review processes that are applicable to such activities. In particular, the role will work closely with Trading, Strategists and Technology to firstly identify and document all relevant regulatory, reputational and operational risks; and then define the controls necessary to mitigate all such identified risks.
In addition, the role is expected to cover the Equities Division’s functions (such as sales and trading) and equities products (such as cash equities and equities derivatives) through engaging in the following responsibilities.
• Identifying and investigating suspicious activities
• Develop compliance-related policies and procedures
• Develop and implement compliance training
• Give advice to Securities Division personnel on compliance issues regarding transactions, new products, errors, etc.
• Interface with Japanese regulatory authorities regarding regulatory inspections, questions on regulations, lobbying for regulatory change, etc.
• Identify and manage regulatory, legal and reputational risks
This is an opportunity for a responsible team player without Compliance experience to become a Compliance professional while working 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 Japan.
The actual responsibilities assigned to the successful candidate will depend on their experience and the needs of Securities Division Compliance at the time. Candidates who stay in Securities Division Compliance will, over time, have the opportunity to engage in most or all of the activities above.
Basic Qualifications
• Inquisitive and proactive in identifying risks and proposing pre-trade control solutions
• Good communication skills
• Fluency in Japanese and English
• Desire to work on the trading floor, interacting directly with salespersons and traders in an often fast-moving environment
• Ability to work with a variety of senior and junior people both in Federation and Business side, and build smooth working relationships
• Proactive attitude (“self-starter”)
• Ability to think through issues logically and make decisions on their own, and make necessary escalation
• Ability to handle multiple tasks simultaneously and work under tight deadlines
• Good PC skills
• Attention to detail
Preferred Qualifications
• 4-5 years of experience in financial industry.
• No compliance experience necessary, but candidates with experience with algorithmic and electronic trading are recommended
Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2017. All rights reserved