Compliance Division, Goldman Sachs Asset Management (GSAM) Compliance, Analyst / Associate – Singapore recruitment

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. The major functions performed by Global Compliance include providing advice to the business, testing, monitoring, regulatory reporting, training, surveillance, managing regulatory audits and inquiries, and developing and implementing policies and procedures. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities.

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.

Centralized functions with Global Compliance include the following:

• Compliance Surveillance Strategy is comprised of the Anti-Money Laundering/Suspicious Activities Group, E-Communications Compliance and Global Surveillance.
• Global Compliance Employee Services manages registrations, outside interests and private investments.
• Global Compliance Testing, Regulatory Audits and Inquiries, Global Compliance Training and Communications and Global Control Room Chaperones. These groups manage regulatory affairs, services and resources related to all businesses and employees of the firm globally. They advise, test, survey and manage firmwide activities, employee activities, transactions and risks.

The role of this Compliance Officer is to provide compliance coverage to the various businesses within Goldman Sachs Asset Management in Asia Pacific. 

Principal Responsibilities:

- Assist the GSAM Compliance team in Singapore 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.

Experience / Skills:

- University degree holder;
- Ideally at least 2 - 4 years of compliance, legal, audit or other control function experience preferably covering equities and/or fixed income sales and trading or asset management;
- Preferable knowledge of asset management regulations and / or exchange rules for listed securities, futures and derivatives and/or asset management industry and related regulatory policies;
- Takes ownership of tasks/projects and is detail oriented;
- Knowledge of Chinese Walls, information barriers and handling of material non-public information preferred;
- 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;
- Fluent in English with Chinese, Japanese or Korean language skills an advantage
- 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.

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2011. All rights reserved.