Compliance Officer, Global Markets

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China Goldman Sachs Full time
Job Summary

We are seeking a highly skilled Compliance Officer to join our Global Markets team. As a Compliance Officer, you will be responsible for ensuring that our FICC business units comply with all relevant laws, regulations, and internal policies.

Key Responsibilities
  • Provide real-time compliance advice to Global Banking & Markets – FICC business units in APEJ on compliance issues regarding transactions, new products, and business initiatives.
  • Devise and implement strategic solutions with senior compliance team members and other control side departments to support the Compliance functions.
  • Assist with the analysis, interpretation, and implementation of new rules and regulations.
  • Develop policies, procedures, and best practices for business units.
  • Develop, implement, and deliver compliance training.
  • Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary.
  • Identify and manage regulatory, legal, and reputational risks.
  • Review and handle escalations from daily trade surveillance reports.
Requirements
  • Dynamic individual with 4-6 years of compliance, legal, audit, or other control function experience covering FICC and structured/derivative products.
  • Working knowledge in HK and APEJ regional securities and/or banking regulations preferred.
  • A team player with strong communication and interpersonal skills, able to work well with people in the front office and support functions.
  • Strong analytical and organizational skills, ability to work independently under a fast-paced and pressured environment.
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure.
  • Proactive, self-motivated, assertive, and well-organized.
  • Attention to detail.
  • Flexible with the ability to multi-task.
  • Proactive approach to problem-solving.
  • Fluency in English and Chinese both in written and verbal.
About Goldman Sachs

At 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 /careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

  • Compliance Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team in Hong Kong and Singapore. As a key member of our Compliance team, you will play a critical role in ensuring that our business operations align with applicable laws, regulatory rules, and regulations.Key ResponsibilitiesSupport the development and implementation of our...

  • Compliance Officer, Global Markets Compliance FICC, Vice President

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Goldman Sachs Full time

    Global Compliance RoleOur 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...

  • Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    Compliance Manager (Financial Institution)Global Executive Consultants Ltd. is seeking a seasoned professional to oversee general compliance for Type 1, 4, and 9 licenses. The ideal candidate will ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements.Key ResponsibilitiesDevelop and implement compliance strategies to mitigate...

  • Compliance Testing Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Job Title: VP, Compliance Testing Officer - MarketsCiti is seeking a highly skilled Compliance Testing Officer to join our team in Hong Kong. As a key member of our Compliance and Control function, you will play a critical role in ensuring the effectiveness of our compliance risk management framework.Key Responsibilities:Develop and execute compliance...

  • Officer, Cash Equity Middle Office Analyst

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China 06497 Citigroup Global Markets Asia Limited Full time

    About the RoleCitigroup Global Markets Asia Limited is seeking a highly skilled and experienced professional to join our team as a Officer, Cash Equity Middle Office Analyst - Hybrid (Internal Job Title: Securities & Derivatives Analyst– C09) based in Hong Kong.Key ResponsibilitiesProvide analytical and administrative support to Front Office Sales and...

  • Compliance Testing Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    About the RoleCiti is seeking a highly skilled Compliance Testing Officer to join our team in Hong Kong. As a key member of our Compliance Risk Management team, you will play a critical role in assessing and mitigating compliance risks across our Markets businesses.Key ResponsibilitiesDevelop and execute compliance testing programs to identify and mitigate...

  • Officer, Cash Equity Middle Office Analyst

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China 06497 Citigroup Global Markets Asia Limited Full time

    About the RoleCiti is seeking a highly skilled and detail-oriented individual to join our team as a Officer, Cash Equity Middle Office Analyst in Hong Kong. As a key member of our team, you will be responsible for providing analytical and administrative support to our Front Office Sales and Trading team with derivatives and securities transactions.Key...

  • Compliance Officer

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time

    Job Title: Compliance Officer - Hong Kong and SingaporeAt Allspring Global Investments, we are seeking a highly skilled Compliance Officer to join our team in Hong Kong and Singapore. As a Compliance Officer, you will play a critical role in ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.Key...

  • Compliance Testing Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Shape Your Career with CitiCiti is a global bank that offers a wide range of career opportunities. As a Compliance Testing Officer - Markets, you will be responsible for assessing compliance risks and controls implemented by the first and second line of defense. You will also perform risk assessments of Citi's compliance risks, perform independent testing...

  • Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    Compliance Manager (Corporate Banking)Our client, a leading financial institution, is seeking a highly skilled professional to fill the position of Compliance Manager.Key ResponsibilitiesCollaborate with the Head of Legal & Compliance to oversee all regulatory compliance matters.Conduct thorough compliance reviews and assessments to evaluate the...

  • Financial Analyst

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China 06497 Citigroup Global Markets Asia Limited Full time

    About the RoleCiti is seeking a highly skilled and detail-oriented individual to join our team as a Cash Equity Middle Office Analyst. In this role, you will provide analytical and administrative support to our Front Office Sales and Trading team, ensuring seamless execution of derivatives and securities transactions.Key ResponsibilitiesProvide analytical...

  • Compliance Officer, Global Asset Management

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China WilsonHCG Hong Kong Full time

    Compliance Manager, Global Asset ManagerWilsonHCG Hong Kong is seeking a seasoned Compliance Manager to oversee regulatory and business compliance matters for our Hong Kong office.The successful candidate will provide expert support and advice to the business, collaborating with colleagues from the regional compliance team to ensure seamless execution.Key...

  • Compliance Testing Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Job SummaryCiti is seeking a highly skilled Compliance Testing Officer to join our team in Hong Kong. As a key member of our Compliance Testing team, you will be responsible for assessing compliance risks and controls implemented by the first and second line of defense. Your expertise will be essential in identifying and mitigating potential risks, ensuring...

  • Compliance Testing Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Job Summary:Citi is seeking a highly skilled Compliance Testing Officer to join our team in Hong Kong. As a Compliance Testing Officer, you will be responsible for assessing compliance risks and controls implemented by the first and second line of defense, performing risk assessments of Citi's compliance risks, and reporting and escalating control issues and...

  • Senior Anti-Money Laundering Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    Senior Anti-Money Laundering Compliance OfficerGlobal Executive Consultants Ltd. is seeking a highly skilled Senior Anti-Money Laundering Compliance Officer to join our team.Job Summary:We are looking for a seasoned professional to provide expert advice on Anti-Money Laundering (AML) compliance regulations and lead our AML compliance advisory team.Key...

  • Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Qube Research & Technologies Full time

    Job DescriptionQube Research & Technologies (QRT) is a leading global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data-driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative...

  • Research Analyst

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Cornerstone Global Partners Full time

    **About Cornerstone Global Partners**We are a leading global financial media group, renowned for our expertise in the banking industry. We are seeking an experienced Research Analyst to join our team and contribute to our most recognized and reputable brand.**Key Responsibilities:**Conduct in-depth research on global banking markets, utilizing our database...

  • Compliance Testing Officer, Markets

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Job SummaryCiti is seeking a highly skilled Compliance Testing Officer, Markets to join our team in Central, Hong Kong. As a key member of our Compliance and Control function, you will be responsible for assessing compliance risks and controls implemented by the first and second line of defense, performing risk assessments of Citi's compliance risks, and...

  • Global Markets Trainee

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Société Générale Assurances Full time

    Job SummarySociete Generale Assurances is seeking a highly motivated and detail-oriented Trainee to join our Global Markets team in Hong Kong. As a Trainee, you will be responsible for delivering cross-asset marketing materials and client events to support APAC Global Markets sales activities.Key ResponsibilitiesDevelop and implement marketing strategies to...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Goldman Sachs Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our Global Markets Compliance team in Hong Kong. As a key member of our team, you will be responsible for providing real-time compliance advice to our FICC business units and ensuring that our operations are in line with regulatory requirements.Key ResponsibilitiesProvide primary coverage...