ABOUT GOLDMAN SACHS

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.

 

ABOUT OUR ROLES IN GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these 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.

 

Are you interested in building relationship with various regulators, driving the firm's strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for a self-motivated professional to join our Hong Kong APEJ Regional Country Compliance (RCC) – Practice Group who wants to use their legal and/or compliance skillset in a highly collaborative and dynamic environment.

 

This position is an integral member of the APEJ RCC – Practice Group. The APEJ RCC – Practice Group is responsible for, among other things, interacting with the firm’s regulators in connection with inquiries, inspections and exams. Another core pillar of this role is advisory in regulatory reporting and position monitoring to Regulatory Operations and Controllers, and advisory to Business on APEJ disclosure regime relating to beneficial ownership and takeover rules. Ancillary to this role are functions such as maintaining regulatory relationships and interactions in APEJ, coordinating management reporting, tracking regulatory policy changes and updating of certain firmwide compliance policies and procedures.

 

JOB RESPONSIBILITIES

Coordinate responses to regulatory inquiries, inspections and communications Track regulatory findings and observations and any remedial commitments to regulators Build and maintain regulatory relationships in APEJAdvise Business on APEJ disclosure regime relating to beneficial ownershipDeal with regulatory issues arising from transactions and the firm's investments e.g. joint ventures or mergers Monitor firmwide correspondences with the Hong Kong regulators Partner with Legal Department to give appropriate regulatory advice to other areas of the firm

 

QUALIFICATIONS

Excellent team work and interpersonal skills Excellent organizational skills Ability to identify and balance commercial considerations with regulatory and legal risk Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics Attention to detail and thoroughness of execution Strong analytical and judgment skills Excellent communication skills, written and verbal, in English and in Chinese Minimum one to two years’ experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firmsExperience in regulatory reporting and/or takeover codes will be a plus Private practice in legal and accounting firms is also considered  

 

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.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

 

© The Goldman Sachs Group, Inc., 2023. All rights reserved.

 

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity