Compliance, Asset Management Compliance, Associate, Tokyo

Location(s) JP-13-Minato-ku
Job ID
Schedule Type
Full Time
Business Unit
Asset Management Compliance
Employment Type


Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. The major functions performed by Global Compliance include providing advice to the business, testing, monitoring, regulatory reporting, training, surveillance, managing regulatory audits and inquiries, and developing and implementing policies and procedures.


From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups, each with firmwide responsibilities.


This position belongs to divisional compliance, and the role of this Compliance Officer is to provide compliance coverage to the various businesses within the Asset Management Division (AMD) in Japan.


Principal Responsibilities:

  • Assist the AMD Compliance team in Japan in providing advice to the business in their day-to-day business operations, including providing advice on products and business initiatives
  • Assist the team in undertaking, investigating and resolving general compliance and investment surveillance alerts including working with other connected groups
  • Assist the team in marketing material review for clients and prospects
  • Assist in collecting information for regulatory filings/audits
  • Assist with training for new hires and other training events
  • Assist in developing and drafting compliance policies and procedures, outlining the Firm's policies, regulations and best practices
  • Keep up-to-date with relevant regulatory/rule changes including the implementation of such regulatory/rule changes
  • Work closely with other control-side groups on regulatory issues
  • Work closely with offshore teams on global initiatives and projects


Preferred Qualifications:

  • University degree
  • Compliance, legal, audit or other control function experience preferably covering asset management or broker-dealer bussinesses
  • Knowledge of asset management regulations and/or exchange rules for listed securities, futures and derivatives and/or asset management industry and related regulatory policies
  • Take ownership of tasks/projects and is detail oriented
  • Knowledge of Chinese Walls, information barriers and handling of material non-public information
  • Ability to manage client expectations and competing priorities and follow up proactively on issues
  • Good analytical skills and ability to exercise judgment
  • Inquisitive and able to work independently in identifying risks and proposing solutions
  • Strong oral and written communication skills, as the role requires frequent interaction with various groups within the region and across the globe
  • Strong team player, able to coordinate and seek information from different parts of the firm
  • Ability to multi-task and work well under pressure and have a positive, hands-on attitude
  • Language skills: Fluent/native Japanese (written/spoken) Intermediate English


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