Global Markets, Regulatory Controls Management, Analyst / Associate, Hong Kong

Location(s) HK-H-Hong Kong
Job ID
Schedule Type
Full Time
Asia Except Japan
Global Markets
Business Unit
Management and Strategy
Employment Type




Our core value is building strong relationships with our institutional clients, which include corporations, financial service providers, and fund managers. We help them buy and sell financial products on exchanges around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team with a passion for the markets, with individuals who thrive in fast-paced, changing environments and are energized by a bustling trading floor.


The Regulatory Controls Management Team (RCM) centrally manages pre-trade and trade controls and control processes associated with certain regulatory obligations of the Global Markets division. The team focuses on the design of pre trade and trade controls for Sales / Trading, including control enhancements, alert management and escalation to key stakeholders. 


Primary Responsibilities:

  • Design pre-trade and post-trade business controls for new regulatory implementation, and identify and implement enhancements to existing controls
  • Develop subject matter expertise on covered obligations and participate in various working groups across multiple stakeholders
  • Contribute to strategic initiatives to streamline pre-trade and post-trade control design, workflows and processes across obligations
  • Formulate and develop business control requirements for new regulatory implementations
  • Partner with Desks, Compliance, Legal and Engineering to design and improve business control workflows
  • Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
  • Knowledge of Global Markets businesses and ability to build relationships with sales / trading personnel

Basic Qualifications:

  • Prior exposure to regulatory obligations eg. MIFID II requirements (Quote Capture, Derivatives Trading Obligation (DTO), Recordkeeping)
  • Familiarity with derivative products, sales / trading booking platforms and trade flows
  • Ability to translate and analyze data to perform root cause / trending / impact analyses
  • Experience working with Technology including defining and clarifying business requirements, demonstrate comprehension of business logic
  • Ability to manage timelines/deadlines, multiple projects and prioritize tasks in a rapidly changing environment
  • Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigants/solutions and escalate appropriately
  • Ability to craft and generate effective and influential presentations, metrics, reporting to a diverse group of stakeholders
  • Strong time and project management/organizational skills and attention to detail; ability to handle a fast-paced environment; communicate factually and influentially


The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, Global Market and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Bangalore, Hong Kong and other major financial centers 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

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