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Compliance - Investment Banking Division Compliance - Associate/Vice President - Hong Kong
Goldman Sachs
Hong Kong, , Hong Kong
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Job Summary & Responsibilities
YOUR IMPACT
As an integral part of the Asia Pacific IBD Compliance team, you will work in a highly collaborative and dynamic environment with other Compliance team members and other Goldman Sachs departments, including Legal and Internal Audit, Conflicts Resolution, Finance, Human Capital Management and Operations, to address an array of business, legal and regulatory matters encountered by the Investment Banking Division across the Asia Pacific region. The Investment Banking Division comprises industry and product groups that focus on leading and innovative financing (debt and equity), M&A and derivatives transactions as well as financial advisory assignments.
OUR IMPACT
Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. 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.
HOW YOU WILL FULFILL YOUR POTENTIAL
• Controls/Surveillance. Create controls and surveillances to verify adherence to laws, regulations and firm policies and procedures. Assess and determine how to mitigate risk to the firm by analyzing transactional processes used in the Investment Banking Division and reviewing the activities and actions of individual bankers.
• Testing/Monitoring. Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.
• Training. Prepare and deliver live and online training to the Investment Banking population on divisional policies and procedures.
• Policies and Procedures. Ensure that appropriate policies and procedures are in place for the Investment Banking Division. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel.
• Advice. Provide advice in real time to the Investment Banking Division on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.
• Regulatory Matters. Assist the Investment Banking Division and Legal in responding to regulatory inquiries, investigations and inspections.
Basic Qualifications
SKILLS & EXPERIENCE WE’RE LOOKING FOR
• Bachelor’s degree with a minimum of 5 years of professional experience of which at least 3 years are in the finance industry.
• Fluency in English and Mandarin (speaking, reading and writing)
• Highly motivated and adaptable team player with a positive, “can do” attitude who enjoys working collaboratively.
• Strong analytical, research and fact-gathering skills.
• Highly organized, accurate and detail-oriented with sound judgment and integrity.
• Excellent interpersonal, communication and presentation skills, both written and verbal.
• Ability to work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment.
• Quick learner and self-starter who can work effectively with minimal supervision.
Preferred Qualifications
• Experience with Equity Capital Markets, Debt Capital Markets, M&A, Derivatives and/or Structured Products transactions.
Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2017. All rights reserved