Compliance Division, Investment Banking Division Compliance, Associate / Vice President, Hong Kong Compliance Division, Investment Banking Division  …

Goldman Sachs
in Hong Kong
Permanent, Full time
Last application, 16 Jan 22
Competitive
Goldman Sachs
in Hong Kong
Permanent, Full time
Last application, 16 Jan 22
Competitive
Compliance Division, Investment Banking Division Compliance, Associate / Vice President, Hong Kong
YOUR IMPACT
As an integral part of the Asia Pacific Investment Banking Division Complia nce team, you will work in a highly collaborative and dynamic environment working directly with the Investment Banking Division and other Goldman Sachs departments, including Compliance 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 (including debt and equity), M&A and derivatives transactions as well as financial advisory assignments.

OUR IMPACT
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:
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. Work with 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 and relevant laws, regulations and risks.
SKILLS & EXPERIENCE WE'RE LOOKING FOR
Basic Qualifications
  • Bachelor's degree.
  • 5+ years related work experience, preferably in a compliance or legal role at an investment bank, securities company or a law firm.
  • 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.
Preferred Qualifications
  • Legal or Compliance experience in the finance industry, including experience with exposure to Equity Capital Markets or M&A transactions.
  • MBA, legal qualification or other similar advanced degree or qualification is preferred .
  • Fluency in English and Mandarin with a strong command of speaking, reading and writing in both languages is preferred.
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