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Vice President, Compliance for Global Markets FICC

2 months ago

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

GLOBAL COMPLIANCE OVERVIEW

Our division is dedicated to preventing, identifying, and alleviating compliance, regulatory, and reputational risks across the organization while enhancing the firm's compliance culture. We achieve this through a comprehensive enterprise-wide compliance risk management strategy. As an independent control function, part of the second line of defense, Compliance evaluates the firm's exposure to compliance, regulatory, and reputational risks; monitors adherence to new or revised laws, rules, and regulations; develops and implements controls, policies, procedures, and training; conducts independent assessments; investigates, surveils, and monitors for compliance risks and violations; and leads the firm's responses to regulatory reviews, audits, and inquiries. You will collaborate with a diverse team of professionals from various academic and professional backgrounds, including law, accounting, sales, and trading. We seek individuals who demonstrate sound judgment, curiosity, and adaptability to a dynamic regulatory environment.

The Global Banking & Markets – Public Compliance team operates from the Trading Floor and is tasked with thoroughly identifying and managing the regulatory, legal, and reputational risks associated with Goldman Sachs' FICC and Equities business units. This role emphasizes providing Compliance support for FICC business units (such as sales, trading, and strategists) and products (including fixed income securities, credit derivatives, FICC-equity hybrid products, currencies, rates, commodities, mortgages, options, futures, and swaps). This position offers a chance for a responsible team player to engage in complex tasks and, depending on their specific duties, interact with sales personnel and traders, as well as other compliance and legal professionals within Goldman Sachs.

KEY RESPONSIBILITIES

The primary duties of the GBM Public Compliance team include:

  • Providing primary coverage and real-time compliance guidance to Global Banking & Markets – FICC business units in APEJ regarding compliance matters related to transactions, new products, and business initiatives.
  • Collaborating with senior compliance team members and other control departments to devise and implement strategic solutions that support compliance functions.
  • Assisting in the analysis, interpretation, and application of new regulations.
  • Developing policies, procedures, and best practices for business units.
  • Creating, implementing, and delivering compliance training programs.
  • Managing regulatory and internal investigations/audits and escalating significant or unresolved issues to senior compliance management and relevant business units as necessary.
  • Identifying and mitigating regulatory, legal, and reputational risks.
  • Reviewing and addressing escalations from daily trade surveillance reports.

REQUIRED SKILLS AND EXPERIENCE

  • A dynamic individual with 4-6 years of experience in compliance, legal, audit, or other control functions, particularly in FICC and structured/derivative products.
  • Familiarity with HK and APEJ regional securities and/or banking regulations is preferred.
  • A collaborative team player with strong communication and interpersonal skills, capable of working effectively with front office and support functions.
  • Excellent analytical and organizational abilities, with the capacity to work independently in a fast-paced, high-pressure environment.
  • Proven ability to resolve conflicts, manage confrontations, and maintain composure under stress.
  • Proactive, self-motivated, assertive, and well-organized.
  • Strong attention to detail.
  • Flexible with the capability to handle multiple tasks simultaneously.
  • A proactive approach to problem-solving.
  • Proficiency in both written and verbal English and Chinese.

ABOUT GOLDMAN SACHS

At Goldman Sachs, we dedicate our people, capital, and ideas to assist our clients, shareholders, and the communities we serve in achieving growth. Established in 1869, we are a premier global investment banking, securities, and investment management firm. Headquartered in New York, we operate offices worldwide.

We believe that individual identity enhances professional performance. We are committed to promoting and advancing diversity and inclusion within our workplace and beyond, ensuring that every individual within our firm has numerous opportunities for professional and personal growth, including training and development programs, firmwide networks, benefits, wellness initiatives, and mindfulness offerings. Discover more about our culture, benefits, and people at our careers page.

We are dedicated to providing reasonable accommodations for candidates with special needs or disabilities throughout our recruitment process.