Compliance, GBM Public Compliance Equities, Associate, Tokyo

Compliance division GBM-Public Compliance Associate/Analyst Tokyo

Job Summary & Responsibilities

The Goldman Sachs Group is a bank holding company and a leading global investment banking securities and investment management firm. Goldman Sachs provides a wide range of services worldwide to a substantial and diversified client base that includes corporations financial institutions governments and high net worth individuals. Founded in 1869 the firm is headquartered in New York and maintains offices in London Frankfurt Tokyo Hong Kong and other major financial centers around the world.
We are committed to growing our distinctive Culture and upholding our core values which always place our clients interests first. These values are reflected in our Business Principles which emphasize integrity commitment to excellence innovation and teamwork.

GBM-Public Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory legal and reputational risks of the Global Banking & Markets - Public. The role is focused on providing Compliance coverage for the Equities functions (such as sales and trading) and products (such as stocks futures and OTC derivatives). This is an opportunity for a responsible team player without Compliance experienceto become a Compliance professional while working on challenging tasks and depending on their particular responsibilities interact with sales people and traders as well as other Goldman Sachs compliance and legal professionals both in and outside Japan.

The primary responsibilities of GBM-Public Compliance are:

• Review daily trade surveillance reports
• Identifying and investigating suspicious activities
• Develop compliance-related policies and procedures
• Develop and implement compliance training
• Give advice to GBM-Public personnel on compliance issues regarding transactions new products errors etc.
• Interface with Japanese regulatory authorities regarding regulatory inspections questions on regulations lobbying for regulatory change etc.
• Identify and manage regulatory legal and reputational risks

The actual responsibilities assigned to the successful candidate will depend on their experience and the needs of GBM-Public Compliance at the time. Candidates who stay in GBM-Public Compliance will over time have the opportunity to engage in most or all of the activities above.

Requirements:

• Good communication skills
• Fluency in Japanese and Englishboth in written and verbal
• Desire to work on the trading floor sometimes interacting directly with salespersons and traders in an often fast-moving environment
• Proactive attitude (self-starter)
• Ability to think through issues logically and make decisions on their own and make necessary escalation
• Good PC skills
• Attention to detail
• No compliance experience necessary but candidates with experience with equities products are encouraged to apply.
  

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: The Goldman Sachs Group Inc. 2026. All rights reserved.

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