GSAM Compliance, Compliance Officer, Analyst/Associate, Singapore
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. YOUR IMPACT
Are you interested in building your career in compliance focusing on the asset management business where you will work with a highly experienced team, driving the firm's strategic risk awareness and gaining exposure to asset management capabilities across the globe? We are looking for a professional to join our GSAM Compliance team in Singapore who wants to use their financial market expertise, legal and/or compliance skillset in a highly collaborative and dynamic environment. RESPONSIBILITIES AND QUALIFICATIONS HOW YOU WILL FULFILL YOUR POTENTIAL
Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups, each with firmwide responsibilities. Divisional compliance groups are embedded in the business they support. These groups include Global Investment Banking Division/Merchant Banking Division Compliance, Global Securities Division Compliance, Global Investment Management Division Compliance (which consists of Goldman Sachs Asset Management Compliance and Private Wealth Management Compliance), Global Investment Research Compliance and Global Operations, Technology, Finance and Services Compliance.
The role of this Compliance Officer is to provide compliance coverage to the various businesses within Goldman Sachs Asset Management in Asia Pacific. Goldman Sachs Asset Management
is one of the world's leading investment managers. With over 2,000 professionals across offices worldwide, GSAM provides institutional and individual investors with investment and advisory solutions, with strategies spanning asset classes, industries, and geographies. PRINCIPAL RESPONSIBILITIES
SKILLS AND EXPERIENCE WE'RE LOOKING FOR
- Assist the GSAM Compliance team in Asia Pacific Excluding Japan in providing advice to the various regional teams in their day-to-day business operations, including providing advice on products and business initiatives.
- Assist the team in undertaking, investigating and resolving general compliance and investment surveillance alerts including working with other connected Federation groups.
- Assist the team in marketing material review for clients and prospects.
- Assist in collecting information for regulatory filings/audits.
- Assist with training for new hires and other training events.
- Advise and coordinate with Technology and assist with new desk initiatives.
- Assist in developing and drafting compliance policies and procedures, outlining the Firm's policies, regulations and best practices.
- Keeping up-to-date with relevant regulatory/rule changes including the implementation of such regulatory/rule changes.
- Work closely with other Federation groups on regulatory issues.
- Work closely with offshore teams on global initiatives and projects.
- University degree holder.
- Minimum of 2 years of compliance, legal, audit or other control function experience preferably covering equities and/or fixed income sales and trading or asset management.
- Takes ownership of tasks/projects and is detail oriented.
- Ability to manage client expectations and competing priorities and follow up proactively on issues.
- Good analytical skills and ability to exercise judgment.
- Inquisitive and able to work independently in identifying risks and proposing solutions.
- Strong oral and written communication skills, as the role requires frequent interaction with various groups within the region and across the globe.
- Strong team player, able to coordinate and seek information from different parts of the firm.
- Ability to multi-task and work well under pressure and have a positive, hands-on, "can do" attitude.
- Ability to work not only independently but as part of a team.
ABOUT GOLDMAN SACHS
- Knowledge of asset management regulations and / or exchange rules for listed securities, futures and derivatives and/or asset management industry and related regulatory policies.
- Knowledge of Chinese Walls, information barriers and handling of material non-public information.
- Fluency in English with Traditional Chinese, Mandarin or other Asian language skills an advantage .
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.