Compliance, Securities Division Compliance, Analyst, Hong Kong recruitment

Securities Division Compliance covering Equities Credit in Hong Kong provides compliance coverage and support to the Division's business units in Hong Kong and across the Asia 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, training, surveillance, policy procedures and regulatory interface

Principal Responsibilities
Provide coverage to the equities and credit sales and trading businesses in their day to day business operations
Review and analyze daily surveillance reports, conduct investigations when necessary and escalate significant or unresolved issues to senior compliance management and the business units.
Conduct regular compliance training for business unit professionals and supervisors.
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.

Basic Skills
-At least 2 years of compliance, legal, operations, audit or other control function experience covering equities or credit sales and trading preferable
-Effective communication skills essential
-Strong analytical skills and ability to exercise judgment and manage execution under pressure
Inquisitive and proactive in identifying risks and proposing solutions

Preferred skills

- Chinese language skills preferable

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