Compliance - Global Markets Compliance – Analyst –Shanghai

Location(s) CN-Shanghai
Job ID
2020-64574
Schedule Type
Full Time
Level
Analyst
Function(s)
Compliance
Region
Asia Except Japan
Division
Compliance
Business Unit
Securities Division Compliance
Employment Type
Employee

MORE ABOUT THIS JOB

BUSINESS UNIT OVERVIEW

 

Global Markets Division Compliance takes an active and critical role in assisting Global Markets Division Management to develop the business in China, and supervise/monitor the business operation to ensure it is in line with internal control and external regulatory requirements. The candidate will work closely with other firm departments, such as Legal, Controllers, Risk, Engineering, Operations and Internal Audit.

 

This is a position based in Shanghai providing support mainly to Global Markets Division business including both agency and principal businesses, as well as dealing with regulatory affairs.

RESPONSIBILITIES AND QUALIFICATIONS

RESPONSIBILIITES

 

  • Identify rules applicable to Global Markets and firmwide businesses from regulatory resources
  • Address day to day questions and issues that arise in the China Global Markets business
  • Provide prompt support to agency and principal trading businesses, including equity, bond, commodity futures trading and OTC derivatives business
  • Conduct periodic and ad hoc trade and communication surveillance and other monitoring workflows
  • Coordinate regulatory initiatives and reporting tasks among Global Markets and other departments  
  • Monitor business activities to ensure compliance with appropriate rules and firm policies
  • Assist to conduct regular and ad hoc compliance trainings for business unit professionals and supervisors

 

Basic Qualifications

 

  • General knowledge of China securities laws and regulations, securities products and services
  • Strong analytical skills, attention to details and the ability to exercise balanced judgment
  • Effective communication and coordination skills are required and the ability to handle multiple tasks simultaneously
  • Self-starter who can work under pressure
  • Excellent written and oral English, Mandarin is essential

 

Preferred Qualifications

 

  • Prior Compliance/Legal experience with securities products/services/industry
  • Project management experience
  • PRC Securities Professional exams passed

ABOUT GOLDMAN SACHS

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.