About Our Roles in Compliance
Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes this 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.
This position sits in divisional compliance and is focused on Asset Management (AM) business within Asset and Wealth Management. AM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.
AM Compliance is seeking an Analyst or Associate to join the AM Compliance team in Hong Kong. The individual will also be part of the broader AM Compliance team, which provides daily advice to AM’s various business teams on portfolio management, investing, fundraising, various regulations applicable to Asset Management business, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM’s Portfolio Management teams, Sales/Marketing, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM’s business model and operational processes.
Job Responsibilities
- Provide advice to the various Asset Management business teams in their day-to-day business operations.
- Keep up-to-date with relevant regulatory/rule changes and driving the implementation of such regulatory/rule changes.
- Assist with regulatory reviews, inspections, investigations, or regulatory inquiries.
- Ensure filing of regulatory documents timely and accurately
- Identify and advise mitigations for regulatory and/or reputational risk issues.
- Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm.
- Perform Compliance monitoring/investigations, as required by regulation or internal policies and procedures.
- Perform Compliance review on marketing materials or other documents, as required by regulation or internal policies and procedures.
- Handle complaints, maintain proper internal record and report to regulators as required.
- Conduct Compliance trainings
- Develop and maintain compliance policies and procedures, outlining firm policies, regulations and best practices.
- Participate in the review and evaluation of new instruments and activities to identify compliance issues and control needs.
- Advise and coordinate with Technology for control developments/enhancements.
- Participate in global projects as required.
Qualifications:
- Experience in Compliance, Legal or other risk control functions, preferably in asset management
- Risk and control focused individual with sound judgment
- Takes ownership of tasks/projects and is detail oriented
- Ability to work independently while at the same time be a proactive team player who enjoys working collaboratively
- Possess effective interpersonal and communication skills, with the ability to resolve issues, build consensus among groups of diverse stakeholders
- Ability to multi-task and work well under pressure and have a positive, hands-on, “can do” attitude and adapt to changes
- Fluency in Cantonese is required. Additionally, fluency in Mandarin would be a significant plus, as it would help support our growing business activities and coverage in Greater China.
- University degree holder
ABOUT GOLDMAN SACHS
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