Global Banking & Markets, Equities Compliance, Associate, Hong Kong

Goldman Sachs

  • Hong Kong
  • Permanent
  • Full-time
  • 15 days ago
Job Category: AssociateJob Description:About Goldman SachsThe 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. We commit people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Our people are our greatest asset - we say it often and with good reason. It is only with the determination and dedication of our people that we can serve our clients, generate long-term value for our shareholders and contribute to the broader public. We take pride in supporting each colleague both professionally and personally. From collaborative workspaces and ergonomic services to wellbeing and resilience offerings, we offer our people the flexibility and support they need to reach their goals in and outside the office.About Our Roles in GBM Public ComplianceGlobal Banking and Market Public Compliance (“GBM Public Compliance”) is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the Global Sachs FICC and Equities business units by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses. The role is within the Asia Ex-Japan GBM Public Compliance Equities Team in Hong Kong. The Role focused on providing Compliance coverage for the Equity business (such as sales, trading and Strategist) and products (across cash equities, equity derivatives, OTC swaps and derivatives, and electronic trading sphere (such as Direct Market Access and Algorithmic Trading), while working closely with other departments, including Finance, Operations, Technology, Internal Audit and LegalThe candidate will be able to work in a multi-dimensional business that is heavily client focused and organize their time to deal with real-rime issues as well as delivering on a diverse project workload.Job Responsibilities
  • Provide real-time compliance advice to Equity business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses. This includes transactions, new products and business initiatives, regulatory changes, etc.
  • Compliance representative for business led projects/initiatives
  • Developing and updating policies & procedures applicable to the Equity business units
  • Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
  • Coordinate with the broader Global Markets Compliance Team on Global (EMEA or Americas) initiatives and projects as a representative for Equities Compliance
  • Handle regulatory and internal investigations/audits
  • Assisting with the analysis, interpretation and implementation of new rules/regulation
  • Review and handle escalations from daily trade surveillance reports
Qualifications
  • Degree level or equivalent (not essential if has relevant working experience)
  • 2-5 years relevant experience working in advisory compliance function covering Equities, with focus on Equities Derivative an advantage.
  • Good understanding of regional rules and regulations preferred
  • Business mandarin speaker and Chinese reader is an advantage
  • Relevant experience working in a compliance function preferably within the Equities advisory space
  • Pro-active, self-motivated, assertive and well organised
  • Ability to work independently and yet remain a strong team player
  • Forward looking, focused on streamlining processes and increasing efficiency
  • Flexible with the ability to multi-task
  • Proactive approach to problem solving
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
  • Personable, level headed and able work in harmony with others
ABOUT GOLDMAN SACHSAt Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices 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 GS.com/careers.We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:© The Goldman Sachs Group, Inc., 2024. All rights reserved.Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

Goldman Sachs