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

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Goldman Sachs International
  • 23 Jul 18 2018-07-23

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


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.


The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Hong Kong. The Hong Kong Control Room is 1 of 7 Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, Hong Kong, Tokyo, Sydney and Bengaluru).


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).



  • 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

  • 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
  • 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
  • Written and verbal communication skills in English and Cantonese. Mandarin is a plus

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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.