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Compliance Specialist, FICC Markets
2 months ago
Compliance Role Overview
At Goldman Sachs, we are seeking a highly skilled Compliance Specialist to join our Global Markets Compliance team. As a Compliance Specialist, you will play a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm.
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.
