Compliance, Asset Management Compliance, Vice President, Hong Kong Compliance, Asset Management Compliance, Vice  …

Goldman Sachs
in Hong Kong
Permanent, Full time
Last application, 19 Jun 21
Goldman Sachs
in Hong Kong
Permanent, Full time
Last application, 19 Jun 21
Compliance, Asset Management Compliance, Vice President, Hong Kong
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.

This is a VP role in the Asset Management Compliance team based in Hong Kong. You will provide compliance coverage to our 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
  • 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
  • Fluency in English required and f luency in written and spoken Chinese or other Asia language prefered
  • University degree holder

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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