Compliance, Global Markets Compliance, Vice President, Hong Kong

Compliance, Global Markets Compliance, Vice President, Hong Kong

Goldman Sachs Services Private Limited
6-9 years
Not Specified

Job Description

Job Description :
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.
Global Markets Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal, and reputational risks of the Global Markets Division. The role is focused on providing Compliance coverage for the FICC Divisions functions (such as sales, trading and principal investment) and products (such as fixed income securities, credit derivatives, FICC-equity hybrid products, currencies, commodities, options, futures, and swaps). This is an opportunity for a responsible team player with relative compliance experiences 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 of Hong Kong. RESPONSIBILITIES AND QUALIFICATIONS
  • Primary coverage focused on Global Market Division (FICC) in their day to day business operations, providing advice on individual transactions, new products and business initiatives
  • Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the APEJ region in order to assist the firm in avoiding economic, regulatory/legal liability and reputational risk
  • Devise and implement strategic solutions with senior compliance management and other control side departments to support the Compliance functions
  • Develop policies, procedure and best practices for business units
  • Conduct Compliance training to Global Market Division professionals
  • Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary

Basic Qualifications
  • Dynamic individual with minimum 6 years of compliance, legal, audit or other control function experience covering FICC products
  • Working knowledge in HK and APEJ regional securities regulations is not mandatory, but an advantage
  • A team player with effective communication and interpersonal skills, able to work well with people in the front office and support functions
  • Strong analytical and organizational skills, able to multi-task and manage execution under a pressured environment
  • Inquisitive and proactive in identifying risks and proposing solutions
  • Fluency in English, both written and verbal

Preferred Qualifications
  • Candidate with FICC Compliance experience strongly preferred
  • Fluency in Chinese, both written and verbal is strongly preferred

Job Details

Employment Types:



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. We're 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 . We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// © The Goldman Sachs Group, Inc., 2021. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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