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.
As an integral part of the Goldman Sachs Gao Hua Compliance team and the broader Asia Pacific IBD Compliance team, you will work in a highly collaborative and dynamic environment with other Compliance team members and other Goldman Sachs departments, including Legal and Internal Audit, Conflicts Resolution, Finance, Human Capital Management and Operations, to address an array of business, legal and regulatory matters encountered by the Investment Banking Division across the Asia Pacific region. The Investment Banking Division comprises industry and product groups that focus on leading and innovative financing (debt and equity), M&A and derivatives transactions as well as financial advisory assignments.
HOW YOU WILL FULFILL YOUR POTENTIAL
Controls/Surveillance. Create controls and surveillances to verify adherence to laws, regulations and firm policies and procedures. Assess and determine how to mitigate risk to the firm by analyzing transactional processes used in the Investment Banking Division and reviewing the activities and actions of individual bankers.
SKILLS & EXPERIENCE WE’RE LOOKING FOR
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.