Compliance Officer, Global Markets Compliance FICC, Vice President

2 months ago

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

Global Compliance Role

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.

Key Responsibilities

  • Primary coverage for and provide real-time compliance advice to Global Banking & Markets – FICC business units in APEJ on compliance issues regarding transactions, new products, and business initiatives, errors, etc.
  • Devise and implement strategic solutions with senior compliance team members and other control side departments to support the Compliance functions
  • Assisting with the analysis, interpretation, and implementation of new rules/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

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