Compliance Division, Investment Banking Division Compliance, Senior Analyst/Associate, Hong Kong
Goldman Sachs
Hong Kong, HK
4天前

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 Group, Finance, Human Capital Management and Operations, to address an array of business, legal and regulatory matters related to 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.

Global Compliance

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.

RESPONSIBILITIES AND QUALIFICATIONS

HOW YOU WILL FULFILL YOUR POTENTIAL

  • 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.
  • 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.

  • 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.

  • Regulatory Matters. Assist the Investment Banking Division and Legal in responding to regulatory inquiries, investigations and inspections.
  • 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 Division population on divisional policies and procedures.
  • SKILLS & EXPERIENCE WE’RE LOOKING FOR

    Basic Qualifications

  • Bachelor’s degree (Master’s degree preferred or 3+ years of compliance, finance or legal experience).
  • Highly motivated and adaptable team player with a positive, can do attitude who enjoys working collaboratively.
  • Quick learner and self-starter who can work effectively with minimal supervision.
  • Highly organized, accurate and detail-oriented with sound judgment and integrity.
  • Excellent interpersonal, communication and presentation skills, both written and verbal.
  • Strong analytical, research and fact-gathering skills.
  • Ability to work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment.
  • Fluency in English and Mandarin with a strong command of speaking, reading and writing in both languages.
  • Preferred Qualifications

  • Experience in the finance industry including experience with exposure to Equity Capital Markets or M&A transactions.
  • ABOUT GOLDMAN SACHS

    At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.

    Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

    We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs.

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