Compliance Division, Securities Division Compliance, Equities & Credit Compliance Officer, Associate/Vice President, Hong Kong(23352)
Job Summary Responsibilities
Securities Division Compliance(SDC) – Equities Credit in Hong Kong provides compliance coverage and support to the Securities Division's business units in Hong Kong and across the Asia Pacific Ex-Japan region. SDC 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 and credit businesses. The role also involves driving forward strategic business initiatives and projects.
The Compliance function consists of 5 pillars: advisory, training, surveillance, policy procedures and regulatory interface
Responsibilities
- Provide coverage for the equities and credit sales/trading businesses in their day to day business operations, new products and markets initiatives
- Conduct due diligence and ongoing review of investments made by the investing and lending businesses
- Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the AEJ 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
Basic Qualifications
- Minimum of 4 years’ experience in Compliance, Legal or Audit
- Working knowledge in HK and AEJ regional securities regulations, exchange rules on listed securities, futures and derivatives
- Effective communication and project management skills
- Strong analytical skills and ability to exercise judgment and manage execution under pressure
- Inquisitive and proactive in identifying risks and proposing solutions
Preferred Qualifications
-Chinese language skills preferable
-Control function experience covering Equities and/or Credit sales and trading preferable
Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2013. All rights reserved.
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