Compliance, Regional Regulatory Affairs, Associate, Beijing Compliance, Regional Regulatory Affairs,  …

Goldman Sachs
in Beijing, Beijing Shi, China
Permanent, Full time
Last application, 17 Nov 21
Goldman Sachs
in Beijing, Beijing Shi, China
Permanent, Full time
Last application, 17 Nov 21
Compliance, Regional Regulatory Affairs, Associate, Beijing
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.

Are you interested in building relationship with various regulators, driving the firm's strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for an experienced professional to join our China Regulatory Affairs division who wants to use their legal and/or compliance skillset in a highly collaborative and dynamic environment.

This position is an integral member of the Regulatory Practice Group. This position focuses on regulatory inquiries, inspections and exams. Another core pillar of this role is advisory in regulatory reporting and position monitoring to Regulatory Operations and advisory to Business on China disclosure regime relating to beneficial ownership and takeover rules. Ancillary to this role are regulatory affairs functions such as maintaining regulatory relationships and interactions in China, coordinating regulatory consultation comments, track regulatory policy changes and drafting, updating of firmwide compliance policies and procedures.

  • Coordinate responses to regulatory inquiries, inspections and audits and regulatory communication
  • Track regulatory findings and observations and any remedial commitments to regulators
  • Build and maintain regulatory relationships in AEJ
  • Advise Business on AEJ disclosure regime relating to beneficial ownership
  • Deal with regulatory issues arising from transactions and the firm's investments e.g. joint ventures or mergers
  • Monitor firm wide correspondences with China regulators
  • Advising employees on firm policies with respect to registration matters, outside brokerage accounts and private investments or outside interests
  • Updating the status of individuals' registration
  • Analyze regulatory changes and enforcement actions, to disseminate relevant information to the related teams
  • Drafting of and assist with implementation of compliance policies and procedures
  • Excellent team work and interpersonal skills
  • Excellent organizational skills
  • Ability to identify and balance commercial considerations with regulatory and legal risk
  • Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics
  • Attention to detail and thoroughness of execution
  • Strong analytical and judgment skills
  • Excellent communication skills, written and verbal, in Chinese and in English
  • Minimum 3 years experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firms
  • Private practice in legal and accounting firms is also considered

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. Learn more about our culture, benefits, and people at .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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