Compliance, Asset Management Compliance, Vice President, Hong Kong
Goldman Sachs
Hong Kong, Hong Kong
3小时前

GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance.

  • Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk;
  • monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training;
  • conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.

    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.

    RESPONSIBILITIES AND QUALIFICATIONS

    Responsibilities

    The is a VP role in the Asset Management Compliance team based in Hong Kong. You will provide compliance coverage to Asset Management business in Asia Pacific, responsibilities mainly include the following :

  • Provide advice to the various Asset Management business teams in their day-to-day business operations
  • Keep up-to-date with relevant regulatory / rule changes and driving the implementation of such regulatory / rule changes
  • Assist with regulatory reviews, inspections, investigations or regulatory inquiries
  • Ensure filing of regulatory documents timely and accurately
  • Identify and advise mitigations for regulatory and / or reputational risk issues
  • Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm
  • Perform Compliance monitoring / investigations, as required by regulation or internal policies and procedures
  • Perform Compliance review on marketing materials or other documents, as required by regulation or internal policies and procedures
  • Handle complaints, maintain proper internal record and report to regulators as required
  • Conduct Compliance trainings
  • Develop and maintain compliance policies and procedures, outlining firm policies, regulations and best practices
  • Participate in the review and evaluation of new instruments and activities to identify compliance issues and control needs
  • Advise and coordinate with Technology for control developments / enhancements
  • Miscellaneous global projects as required
  • Qualifications :

  • Minimum 5 years of experience in Compliance, Legal or other risk control functions, preferably in asset management
  • Risk and control focused individual with sound judgment
  • Takes ownership of tasks / projects and is detail oriented
  • Ability to work independently while at the same time be a proactive team player who enjoys working collaboratively
  • Possess effective interpersonal and communication skills, with the ability to resolve issues, build consensus among groups of diverse stakeholders
  • Ability to multi-task and work well under pressure and have a positive, hands-on, " can do " attitude and adapt to changes
  • Fluent in English
  • Fluency in written and spoken Chinese or other Asia language is a plus
  • University degree holder
  • ABOUT GOLDMAN SACHS

    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals.

    Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

    The Goldman Sachs Group, Inc., 2021. All rights reserved Goldman Sachs is an equal employment / affirmative action employer Female / Minority / Disability / Vet.

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