Compliance - Global Investment Research Associate, Hong Kong

GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defence, Compliance assesses the firms 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 firms 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. 

RESPONSIBILITIES AND QUALIFICATIONS

Business Supported: Global Investment Research Division (GIR). From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, mining big data that enters markets around the world each day to identify game-changing insights.

HOW YOU WILL FULFILL YOUR POTENTIAL

Initiative, creativity and drive, together with the ability to work closely and comfortably with research analysts, are essential attributes of all group members. Because the role requires substantive interaction with research analysts and advising on rules and laws impacting research across jurisdictions in Asia Pacific (including Greater China), candidates with legal, regulatory, compliance or other investigatory experience, who can function in a compliance or legal arena, are being sought. Work with global team members located in New York, Singapore, Shanghai, Tokyo, Sydney, Bengaluru, Dallas and London.

• Advisory and Compliance Oversight. Providing advice to the GIR business, including senior management, on regulatory and reputational related matters, and acting as a resource on a daily basis for compliance and policy issues.   
• Policies and Procedures. Ensuring that GIR has appropriate policies and procedures in place. Assessing, designing and driving completion of necessary upgrades, updates and new policies. Working closely with Legal and GIR to fulfill requirements.
• Regulatory Matters. Helping to manage GIRs responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR.
• Training. Designing, executing and delivering training on policies and procedures.
• Controls/Surveillance/Testing. Creating controls, rolling out surveillance and monitoring of policies and procedures.

SKILLS AND EXPERIENCE WE ARE LOOKING FOR

PREFERRED QUALIFICATIONS

• Legal/Regulatory background
• Fluency in English and Chinese 
• Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
• Quick learner who can adapt well to a fluid regulatory and business environment
• Ability to handle multiple tasks simultaneously, and to work effectively in a team
• Organized, detail-oriented, enthusiastic and professional

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.

Were 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

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Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.