Compliance, Global Banking & Markets Equities Compliance, Vice President, Hong Kong

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 theGBM Public. The role is focused on providing Compliance coverage for theGlobal Markets functions (such as sales and trading) and products (such as fixed income securities and credit derivatives equities FICC-equity hybrid products currencies commodities options futures and swaps). This is an opportunity for a responsible team player to 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.

You will provide support to the various areas within Equities sphere which includes Sales and Sales Trading and Trading for various AEJ markets Program Trading Direct Market Access and the Volatility Trading desks.

You will be able to work in a multi-dimensional business that is heavily client focused and organize their time to deal with real-rime issues as well as delivering on a diverse project workload.

HOW YOU WILL FULFILL YOUR POTENTIAL

• Provide real-time compliance advice to business personnel of all levels with regards to the rules regulation and internal policies that govern their businesses
• Compliance representative for business led projects/initiatives
• Developing and updating policies & procedures applicable to the Cash Equity businesses
• Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses in addition to delivering ad-hoc training as and when required
• Coordinate with the broader Global Markets Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance
• Assisting with the interpretation and implementation of new rules/regulation
• Coordinating responses to ad-hoc regulatory enquiries

SKILLS AND EXPERIENCE WE ARE LOOKING FOR

• Degree level or equivalent (not essential if has relevant working experience)
• 5-8 years relevant experience working in advisory compliance function covering Equities with focus on Equities Derivative an advantage.
• Good understanding of regional rules and regulations preferred
• Business mandarin speaker and Chinese reader is a must.
• Minimum 5 years relevant experience working in a compliance function preferably within the Equities advisory space
• Pro-active self-motivated assertive and well organised
• Ability to work independently and yet remain a strong team player
• Forward looking focused on streamlining processes and increasing efficiency
• Flexible with the ability to multi-task
• Proactive approach to problem solving
• Demonstrates the ability to resolve conflict deal with confrontation and remain calm under pressure
• Personable level headed and able work in harmony with others

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. 2024. 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.