Compliance, Compliance Testing Group and Communication Compliance Surveillance, Analyst, Beijing

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 defense 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. Youll 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.

HOW YOU WILL FULFILL YOUR POTENTIAL

This is an exciting opportunity for an individual who enjoys investigative work and possesses some knowledge of sales and trading portfolio management and/or risk management functions.

The successful candidate will be responsible for (1) reviewing the electronic communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm and (2) creating and executing detailed testing to assess compliance with regulations and firm policies.

The individual will work closely with other teams within Compliance Legal Employee Relations Global Cyber Defense & Intelligence and Engineering.

For the review of electronic communications the primary responsibilities include:

• Utilize e-communications surveillance systems to review messages for content appropriateness regulatory compliance and the misuse of confidential information (among other risks)

• Identify document and resolve potential regulatory/compliance issues

• Partner with coverage area and generate and review monthly reporting summaries on issues identified

• Liaise with other teams within Compliance Legal Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications

• Create and test new surveillances; create efficiencies with existing surveillances

• Design testing and maintenance of E-Communication surveillance

• Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms

  • Experience in the financial services industry either working for an investment manager broker dealer law firm accounting or Big 4 financial services advisory firm or a national regulator

For the Compliance testing work the primary responsibilities include:

• Propose methods of testing and execute plans discussed and agreed with a team leader

• Gather data perform analyses and document results

• Identify potential compliance conduct and reputational risks and effectively escalate to appropriate individuals

• Leverage strong communication skills to interact with Compliance and senior business management

• Team with colleagues around the globe to share findings and refine processes

• Execute multiple projects at the same time and meet tight deadlines

SKILLS AND EXPERIENCE WE ARE LOOKING FOR

• Bachelors Degree with 3-4 years of working experience

• Mandarin language skills required

• Excellent written and verbal English skills with ability to describe complex issues in a clear and concise manner

• Integrity motivation intellectual curiosity and enthusiasm. Strong interpersonal skills

• Attention to detail and strong follow-up skills

• Excellent oral and written communications skills. Excellent interview presentation time management analytical and problem solving skills with the ability to exercise sound and balanced judgment

• Broad knowledge of financial products markets and laws and regulations in Asia. Or alternatively knowledge of products the securities business and sales practice/market conduct rules and regulations i.e. prior experience in sales and trading product controllers compliance legal regulatory audit or risk management functions

• Ability to handle multiple tasks simultaneously and work under pressure

• Ability to juggle competing priorities and stakeholder concerns

• Preferred (but not required):

  • Prior document and/or e-discovery review experience

  • Financial instruments product knowledge (a Financial Engineering qualification CFA or FRM qualifications)

  • Compliance auditing testing legal or regulatory/law enforcement experience

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. Were 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 committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: Goldman Sachs Group Inc. 2026. All rights reserved.

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.