Compliance Division, Securities Division Compliance, Associate/Vice President, Hong Kong

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Goldman Sachs International
  • 20 Jun 18 2018-06-20

Compliance Division, Securities Division Compliance, 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.

Are you passionate about working as a Compliance Officer in a leading global investment banking, securities and investment management firm? We're looking for a Compliance Officer in Securities Division Compliance who wants to cover Equities Business. Securities Division Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the Securities Division.

Securities Division Compliance - Equities in Hong Kong provides compliance coverage and support to the Division's business units in Hong Kong and across the Asia Pacific Ex-Japan region. Divisional Compliance also works closely with other firm departments, such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. This is a trading floor-based compliance function providing real time support to the equities business. The role also involves driving forward strategic business initiatives and projects.

The Compliance function consists of 5 pillars: advisory and compliance oversight, training, surveillance, policy & procedures and regulatory interface.

Core aspects include:

  • Primary coverage focused on the equities sales and trading businesses in their day to day business operations, new products and market initiatives;
  • Additional coverage focused on OTC derivatives, electronic and automated equities trading businesses;
  • 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 5 pillars of the team's function;
  • Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary;
  • Conduct regular compliance training for business unit professionals and supervisors.

  • 3-5 years of compliance, legal, audit or other control function experience covering Equities trading;
  • Strong analytical skills and ability to exercise judgment and manage execution under pressure;
  • Inquisitive and proactive in identifying risks and proposing solutions;
  • Good interpersonal skills and excellent written communication skills;
  • Ability to work with a variety of senior and junior people, and build smooth working relationships;
  • Highest attention to detail;
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment;
  • Entrepreneurial inclination - ability to work alone and act as project manager;
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment;
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.
  • Working knowledge in HK and APEJ regional securities regulations, exchange rules on listed securities, futures and derivative
  • Chinese language skills

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.

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