Compliance, Merchant Banking Compliance, Analyst, Hong Kong Compliance, Merchant Banking Compliance, Analyst,  …

Goldman Sachs
in Hong Kong
Permanent, Full time
Last application, 19 Jan 21
Goldman Sachs
in Hong Kong
Permanent, Full time
Last application, 19 Jan 21
Compliance, Merchant Banking Compliance, Analyst, Hong Kong

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 role of a Merchant Banking Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Merchant Banking Division by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses.

Divisional Compliance provides daily advice to the business units on investing and lending activities, fundraising, Investment Adviser Act requirements, and reputational risk , while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.

Principal Responsibilities:
  • Cover Merchant Banking Division personnel and provide advice on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations.
  • Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices.
  • Create and implement Compliance training programs.
  • Review and advise on product marketing materials.
  • Perform look-backs, oversight and surveillances to assess compliance risks and breaches.
  • Assist with regulatory examinations, audits and inquiries.
  • Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues.
  • Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives.

Basic Qualifications:
  • Bachelor's Degree, JD or MBA.
  • 1-6 years Compliance, Legal, Regulatory or Financial Services industry experience
  • Excellent communications skills (oral and written.)
  • Ability to handle multiple tasks simultaneously and work under pressure.
  • Fluency in English and Chinese both in written and verbal.
  • Ability to think through issues logically and make decisions on their own, and make necessary escalation.
  • No compliance experience necessary, but candidates with experience with regulatory bodies, accounting, banking and finance are encouraged to apply.
  • Proactive, self-motivated, well-organized and hands on.

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.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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