Compliance, Global Investment Research, Associate, Shanghai
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. RESPONSIBILITIES AND QUALIFICATIONS RESPONSIBILITIES AND QUALIFICATIONS Business Supported: Global Investment Research Division (GIR).
From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, mining big data that enters markets around the world each day to identify game-changing insights. HOW YOU WILL FULFILL YOUR POTENTIAL
Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with research analysts, are essential attributes of all group members. Because the role requires substantive interaction with research analysts and advising on rules and laws impacting research, candidates with regulatory, compliance, legal or other investigatory experience, who can function in a compliance or legal arena, are being sought. Work with global team members located in New York, Hong Kong, Tokyo, Singapore, India, Melbourne and London.
- Regulatory Matters. Helping to manage the division's responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR.
- Advisory and Compliance Oversight. Provide advice to the business, including senior management, on regulatory and reputational related matters, and act as a resource on a daily basis for compliance and policy issues.
- Policies and Procedures. Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies. Work closely with Legal and the business to fulfill requirements.
- Training. Design, execute and deliver live and online training on divisional policies and procedures.
- Controls/Surveillance/Testing. Create controls, roll out surveillance and monitor testing of policies and procedures.
ABOUT GOLDMAN SACHS
- Holds a GSP or SIC license as issued by the Securities Association of China
- Regulatory / legal background preferred
- Fluency in Mandarin and English (reading, speaking and writing)
- Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
- Quick learner who can adapt well to a fluid regulatory and business environment
- Ability to handle multiple tasks simultaneously, and to work effectively in a team
- Organized, detail-oriented, enthusiastic and professional
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., 2021. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.