Securities Division Compliance

Securities Division Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the Securities Division. The role is focused on providing Compliance coverage for the Equities Division’s functions (such as sales, trading, prime services and principal investment) and products (such as exchange listed equities & derivatives, OTC derivatives including swaps, warrants and structure products). This is an opportunity for a responsible team player without Compliance experience to become a Compliance professional while working on challenging tasks and, depending on their particular responsibilities, interact with sales people and traders as well as other Goldman Sachs compliance and legal professionals, both in and outside APEJ region.

The primary responsibilities of Securities Division Compliance are:

• Review daily trade surveillance reports
• Identifying and investigating suspicious activities
• Develop compliance-related policies and procedures
• Develop and implement compliance training
• Give advice to Securities Division personnel on compliance issues regarding transactions, new products, errors, etc.
• Interface with regulatory authorities regarding regulatory inspections, questions on regulations, lobbying for regulatory change, etc.
• Identify and manage regulatory, legal and reputational risks

The actual responsibilities assigned to the successful candidate will depend on their experience and the needs of Securities Division Compliance at the time. Candidates who stay in Securities Division Compliance will, over time, have the opportunity to engage in most or all of the activities above.

• Good communication skills
• Fluency in English and Chinese both in written and verbal.
• Desire to work on the trading floor, sometimes interacting directly with salespersons and traders in an often fast-moving environment
• Proactive attitude (“self-starter”)
• Ability to think through issues logically and make decisions on their own, and make necessary escalation
• Good PC skills
• Attention to detail
• No compliance experience necessary, but candidates with experience with regulatory bodies, accounting, banking and finance are encouraged to apply