Compliance, IBD Compliance, Associate, Shanghai

Location(s) CN-31-Shanghai
Job ID
Schedule Type
Full Time
Asia Except Japan
Business Unit
GMC - Regional Office
Employment Type




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, Engineering 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.



  • 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.
  • Testing/Monitoring. Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.
  • Prepare and deliver live and online training to the Investment Banking population on divisional policies and procedures.
  • Policies and Procedures. Ensure that appropriate policies and procedures are in place for the Investment Banking Division. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel.
  • Provide advice in real time to the Investment Banking Division on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.
  • Regulatory Matters. Assist the Investment Banking Division and Legal in responding to regulatory inquiries, investigations and inspections.



Basic Qualifications

  • Bachelor’s degree in law, finance or accounting.
  • A minimum of 4 years of professional experience.
  • Experience in China regulatory matters required.
  • Fluency in English and Mandarin (speaking, reading and writing).
  • Strong analytical, research and fact-gathering skills.
  • Excellent interpersonal, communication and presentation skills, both written and verbal.
  • Highly organized, accurate and detail-oriented with sound judgment and integrity.
  • Ability to work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment.
  • Highly motivated self-starter with an ability to work independently, but can still be a strong team player with a positive, “can do” attitude who enjoys working collaboratively.
  • Quick learner who can adapt well to a fluid regulatory and business environment.

Preferred Qualifications

  • Compliance or legal role at an investment bank, securities company or a law firm.
  • Experience in working with regulators.
  • Experience with Equity Capital Markets, Debt Capital Markets, M&A, Derivatives and/or Structured Products transactions.


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