Job Description

YOUR IMPACT

Our division interprets regulatory requirements, implements policies and procedures, conducts reviews, and provides advice to the firm’s business and management personnel to ensure the firm is complying with applicable laws, rules and regulations when pursuing global market opportunities. We monitor regulatory trends in every jurisdiction where the firm operates, and we work with regulators to manage financial market risk. You will be part of a team with members from a wide range of academic and professional backgrounds, including law, accounting, and finance. We look for candidates with sound judgment and integrity who are inquisitive and curious, value continuous learning, and can adapt quickly in the dynamic business and regulatory environments in which our firm operates.

OUR IMPACT

Global Compliance

Our division interprets regulatory requirements, implements policies and procedures, conducts reviews, and provides advice to the firm’s business and management personnel to ensure the firm is complying with applicable laws, rules and regulations when pursuing global market opportunities. We monitor regulatory trends in every jurisdiction where the firm operates, and we work with regulators to manage financial market risk. You will be part of a team with members from a wide range of academic and professional backgrounds, including law, accounting, and finance. We look for candidates with sound judgment and integrity who are inquisitive and curious, value continuous learning, and can adapt quickly in the dynamic business and regulatory environments in which our firm operates.

RESPONSIBILITIES

How You Will Fulfil Your Potential

• Advice. Provide advice in real time to Investment Banking personnel on compliance, regulatory, policy and reputational issues, and 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 Investment Banking and reviewing the activities and actions of individual bankers.
• Policies and Procedures. Ensure that appropriate policies and procedures are in place for Investment Banking. 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 Investment Banking and Legal in responding to regulatory inquiries, investigations and inspections.
• Testing / Monitoring. Test and monitor controls, surveillances, and procedures to assess their effectiveness in ensuring adherence to laws, regulations, and firm policies and procedures.
• Training. Prepare and deliver live and online training to the Investment Banking population on divisional policies and procedures and relevant laws, regulations and risks.

SKILLS & EXPERIENCE WE’RE LOOKING FOR

Basic Qualifications

• Bachelor’s degree.
• 2+ years related work experience, preferably in a compliance, legal or business role at an investment bank, securities company or law firm.
• Has obtained, or will obtain within three months of being hired, the following qualifications: 
• JSDA Class 1 Representative Exam / 一種外務員資格試験
• JSDA Internal Control Manager Exam / 内部管理責任者資格試験
• Highly motivated and adaptable team player with a positive, “can do” attitude who enjoys working collaboratively.
• Quick learner and self-starter.
• Organized, accurate and detail oriented.
• Possesses sound judgment and acts with 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 Equity Capital Markets or M&A transactions.
• MBA, Law or similar advanced degree or qualification is preferred but not required.
• Fluency in English and Japanese with a strong command of speaking, reading and writing in both languages.

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. Learn more about our culture, benefits, and people at GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2024. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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