Compliance, Investment Banking Compliance, Analyst, Hong Kong

Compliance Division, Global Banking & Markets – Private Compliance (Investment Banking), Analyst, Hong Kong

As an integral part of the Asia Pacific Global Banking & Markets – Private Compliance (Investment Banking) Compliance team, you will work in a highly collaborative and dynamic environment working directly with the Investment Banking businesses and other Goldman Sachs departments, including Compliance, Legal, Internal Audit, Conflicts Resolution Group, Finance, Human Capital Management and Operations, to address an array of business, legal and regulatory matters related to the Investment Banking businesses across the Asia Pacific region. The Investment Banking segment comprises industry and product groups that focus on leading and innovative financing (including debt, equity, and asset-backed lending), M&A and derivatives transactions as well as financial advisory assignments.

Global Compliance

Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial and non-financial risks. 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.

Responsibilities

• Advice – Provide advice in real time to the Investment Banking businesses on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.
• Controls / Surveillance – Create controls and surveillances to verify adherence to laws, regulations and firm policies and procedures. Assess and determine how to mitigate risk to the firm by analyzing transactional processes used in the Investment Banking businesses and reviewing the activities and actions of individual bankers.
• Policies and Procedures – Ensure that appropriate policies and procedures are in place for the Investment Banking businesses. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel.
• Regulatory Matters – Work with the Investment Banking businesses and Legal in responding to regulatory inquiries, investigations and inspections.
• Testing and Monitoring – Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.
• Training – Prepare and deliver live and online training to the Investment Banking population on divisional policies and procedures and relevant laws, regulations and risks.

Basic Qualifications

Preferred Qualifications

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. 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 / careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.