- Primary coverage for and provide real-time compliance advice to Global Banking & Markets – FICC and Equities business units in China on compliance issues regarding transactions, new products and business initiatives, errors, etc.
- Identify and manage regulatory, legal and reputational risks.
- Devise and implement strategic solutions with senior compliance team members and other control side departments to support the Compliance functions.
- Analysis, interpretation, and implementation of new relevant rules/regulations which will be applied to the business units.
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices.
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary.
- Develop, implement, and deliver compliance training for business unit professionals and supervisors.
- Perform oversight of surveillances and programmatic reviews to assess Compliance risks and breaches.
- Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure.
- Individual with relevant Compliance, Legal, Regulatory or Financial Services industry experience.
- Working knowledge of China securities laws and regulations, securities products and services.
- Strong analytical skills, attention to details and the ability to exercise balanced judgment.
- Effective communication and coordination skills are required and the ability to handle multiple tasks simultaneously.
- A team player with strong communication and interpersonal skills. Able to work well with people in the front office and federation functions.
- Ability to work independently under a fast-paced and pressured environment.
- Excellent written and oral English, Mandarin is essential.
- Prior Compliance/Legal experience with securities products/services/industry is preferred.
- PRC Securities Professional exams passed is preferred.
Compliance, GBM Public Compliance, Associate/Vice President, Shanghai/Beijing - Goldman Sachs
描述
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.
At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally. From collaborative work spaces and ergonomic services to wellbeing and resilience offerings, we offer our Compliance professionals the flexibility and support they need to reach their goals in and outside of the office.
YOUR IMPACT
Global Banking & Markets–Public Compliance ("GBM Public Compliance") is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of Goldman Sachs China FICC and Equities business units. The role is focused on providing Compliance coverage for the FICC and Equities business units (such as sales, trading and corporate access) and products (such as equities securities, rates, credit bonds, commodities, and futures).
This is an opportunity based in Shanghai/Beijing for a responsible team player to work on challenging tasks and, depending on their particular responsibilities, interact with front office and federation professionals, both in and outside of China.
KEY RESPONSIBILIITES
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
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.