Job ref no.: CT3114386-01#8703

Compliance Division, Securities Division Compliance, Associate, Hong Kong

Goldman Sachs


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. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Securities Division Compliance (“SDC") in Hong Kong provides compliance coverage and support to the Securities Division's business units in Hong Kong and across the Asia Pacific Ex-Japan region. SDC also works closely with other Compliance divisions and departments such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. This is a trading floor-based compliance function providing real time support to various businesses within Securities Division. The individual is also expected to assist in driving forward strategic business initiatives and projects.

Primary coverage focused on Securities Division Fixed Income Currency and Commodities (“FICC") in their day to day business operations, providing advice on individual transactions, new products and business initiatives
Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the APEJ region in order to safeguard the firm in economic, regulatory/legal liability and reputational issues
Develop policies, procedure and best practices for business units
Conduct Compliance training to Securities Division professionals
Conduct surveillance and forensic review for the business coverage
Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary


Basic Qualifications

Dynamic individual with minimum 4 years of compliance, legal, audit or other control function experience covering FICC products
Working knowledge in HK and APEJ regional securities regulations is not mandatory, but an advantage
A team player with effective communication and interpersonal skills, able to work well with people across the firm
Strong analytical and organizational skills, able to multi-task and manage execution under a pressured environment
Inquisitive and proactive in identifying risks and proposing solutions
Fluency in reading and speaking Chinese is an advantage

Preferred Qualifications
Experience in fixed income and derivatives products are preferred


The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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More job information
Job ref no. CT3114386-01#8703
  • N/A
Job Function
  • 4 years - 9 years
Career Level
  • Non-management level
  • N/A