Compliance, Control Room, Analyst/Associate, Hong Kong
August 1, 2020
MORE ABOUT THIS JOB 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.
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Hong Kong. The Hong Kong Control Room is one of eight Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, Warsaw, Sydney, Tokyo and Bengaluru). The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's advisory side businesses and public side businesses.
RESPONSIBILITIES AND QUALIFICATIONS JOB SUMMARY AND RESPONSBILITIES
Interacting with the Investment Banking Division, Global Markets Division, Consumer and Investment Management Division, and other business divisions in order to maintain the Firm's Restricted Trading List, Confidential Lists and other information control lists
Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
Reviewing research publish by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
Applying the Global Research Settlement rules and Firm's policies to monitor and facilitate communications between Equity Research and Investment Banking personnel
Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
Undergraduate degree with minimum of 1-5 years of compliance or legal-related experience in financial services industry preferred
Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Excellent verbal and written communication skills
Proactive and willing to take on issues/responsibilities that require focus and determination
Ability to work as a member of a team in a fast-paced environment
Detail-oriented with ability to multitask, organize and prioritize
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.