Global Compliance, Employee Services Compliance, Associate, Hong Kong
At Goldman Sachs, we connect people, capital and ideas to help solve problems for our clients. We are a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals.
Job Summary & Responsibilities
The Employee Services Compliance Officer based in Hong Kong is responsible for registration/licensing and related matters for APEJ, with primary focus on Hong Kong. This person will coordinate and manage individual registration matters including applications, de-registrations, continuous professional training, and relevant and related reporting obligations in APEJ region. This person will work closely with various functions to ensure compliance of regulatory requirements and handle enquiries in relation to personal trading, outside activities and business interests.
- Manage applications and other filings to comply with regulatory requirement in a timely manner
- Review all filings submitted to regulators to ensure completeness and accuracy
- Coordinate with various functions on licensing and related matters
- Provide day-to-day Compliance advisory service from licensing and employee conduct perspective to all functions
- Develop and maintain registration policies and procedures
- Develop and generate tools for monitoring and review, work closely with all functions including HCM and Engineering
- Monitor relevant regulatory changes and provide recommendations to address implications if any
- Drive projects in relation to licensing and personal trading matters
Basic Qualifications
- Minimum of 3-5 years’ experience working in relevant Compliance role Pro-active, self-motivated, assertive, well-organized and hands-on
- Ability to work independently with minimum supervision, but still a strong team player
- Flexibility and ability to multi-task Ability to resolve issues and handle conflicts
- Forward looking with a focus on streamlining processes and monitoring potential risk areas
Preferred Qualifications
- Experience in registration and licensing
- Knowledge of the key rules and regulations within Compliance
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 GS.com/careers.
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Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
