Compliance - Control Room - Associate/Vice President - Hong Kong

Recruiter
Goldman Sachs International
Location
Hong Kong
Salary
Competitive
Posted
09 Aug 2017
Closes
14 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time
MORE ABOUT THIS JOB
GLOBAL COMPLIANCE
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.

YOUR IMPACT
Are you looking for a role which provides opportunities to work with team members globally? Do you have substantial initiative, creativity and drive as well as the ability to interact with various business lines? We are looking for a professional to join our Hong Kong Control Room Compliance team who wants to use their legal and/or compliance skillset in a highly collaborative and dynamic environment for preserving the integrity of the Firm's information barriers.

OUR IMPACT
The Control Room is seeking a compliance officer for a role in Hong Kong. The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).

RESPONSIBILITIES AND QUALIFICATIONS
HOW YOU WILL FULFILL YOUR POTENTIAL
  • Interacting with the Investment Banking Division (IBD), Merchant Banking Division (MBD), Securities Divisions (SD) and Asset Management (GSAM) in order to maintain the Firm's Confidential Lists, Restricted Trading List and other control lists
  • Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
  • Reviewing research publish by the Global Investment Research Division (GIR) to ensure compliance with certain legal and regulatory obligations
  • Applying the Global Research Settlement rules and Firm's policies to monitor, pre-approve and facilitate communications between Equity Research and IBD personnel
  • Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
SKILLS & EXPERIENCE WE'ARE LOOKING FOR
  • Minimum of 4 years' experience of Compliance or Legal-related experience in financial services preferred
  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
  • Excellent verbal and written communication skills
  • Proactive and willing to take on issues/responsibilities that require focus and determination
  • Ability to work as a member of a team in a fast-paced environment
  • Detail-oriented with ability to multitask, organize and prioritize
PREFERRED QUALIFICATIONS
  • Highly organized, attention to detail and excellent follow-through
  • Demonstrated client service focus and ability to build relationships across different levels, functions and regions
  • Results-oriented -- ability to balance multiple, time-sensitive projects while maintaining a longer term, strategic focus


ABOUT GOLDMAN SACHS
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., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.