Job Description

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.

YOUR IMPACT

Are you interested in building relationship with various internal stakeholders and regulators, driving the firm's strategic risk awareness, and gaining exposure to cross-divisional, regional and/or global initiatives and regulatory discussions? We are looking for a professional to join our Regional Country Compliance team who wants to use their financial services skillset in a highly collaborative and dynamic environment.  A role in the Regional Country Compliance team offers an exceptional opportunity for professional development for a person interested in financial markets and in driving Compliance-related initiatives, across different teams and in the region.

This Analyst/Associate level position is an integral member of the Regional Country Compliance team. The position focuses on compliance with Hong Kong Monetary (HKMA) regulations and on Compliance responsibility on cross-divisional, regional and/or global initiatives and regulatory matters which impact Asia Pacific.  The person will work closely with divisional compliance teams in Hong and Kong and in regional offices, and other control groups (such as Legal, Controllers, Operations, Human Capital Management), in driving the initiatives and efforts in Asia Pacific.

Specifically, responsibilities include (but not limited to):

• Handle HKMA inquiries / inspections / requests / engagements, including negotiating, verifying and liaising with internal and external stakeholders on regulatory requests, audits and inspections.
• Assess new or updated regulatory requirements, develop new processes and control framework and drive changes resulting from the evolving regulatory expectations
• Produce management metrics and reports for senior leaders, to satisfy both GS and regulatory requirements
• Collate data for Compliance presentations, and compile agenda and materials for Compliance-related meetings
• Launch training to reflect new or updated regulatory requirements
• Maintain Compliance’s database which documents and tracks (amongst other things) meetings with regulatory officials and opportunities relating to the firm
• Participate in initiatives to ensure the firms compliance with regulatory requirements and internal policies and implement and improve work flows, which includes (amongst others), liaising with internal stakeholders across different teams, and regions.

 

QUALIFICATIONS

Basic Qualifications:

• Relevant experience in compliance, legal, regulatory, audit or operational support areas of banks or securities firms
• Proactive, self-motivated, well-organized and hands on
• Detail oriented, good interpersonal skills, excellent communication skills
• Flexibility and ability to multi-task

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., 2023. All rights reserved.

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

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