Compliance, Global Banking & Markets, Public Compliance, Senior Vice President, Hong Kong

Job title: Compliance, Global Banking & Markets, Public Compliance, Senior Vice President, Hong Kong

Company: Goldman Sachs


Job description: Job Description:About Goldman SachsThe 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. We commit people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Our people are our greatest asset – we say it often and with good reason. It is only with the determination and dedication of our people that we can serve our clients, generate long-term value for our shareholders and contribute to the broader public. We take pride in supporting each colleague both professionally and personally. From collaborative workspaces and ergonomic services to wellbeing and resilience offerings, we offer our people the flexibility and support they need to reach their goals in and outside the office.About Our Roles in GBM Public ComplianceGBM Public Compliance is located on the trading floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the GBM Public. The role is focused on providing Compliance coverage for the Global Markets’ functions (such as sales and trading) and Equity products (such as equities, equity derivatives, equity hybrid products, options, futures, and swaps). This is an opportunity for a responsible team player 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 Hong Kong.You will provide support to the various areas within Equities sphere which includes Sales, Sales Trading, Trading & Prime Brokerage for various AEJ markets, Program Trading, Direct Market Access and the Volatility Trading desks.You will be able to work in a multi-dimensional business that is heavily client focused and organize their time to deal with real-rime issues as well as delivering on a diverse project workload.Job Responsibilities

• Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
• Compliance representative for business led projects/initiatives
• Developing and updating policies & procedures applicable to the Cash Equity & Equity Derivative businesses
• Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
• Coordinate with the broader Global Markets Compliance Team on Global (EMEA or Americas) initiatives and projects as a representative for Equities Compliance
• Assisting with the interpretation and implementation of new rules/regulation
• Coordinating responses to ad-hoc regulatory enquiries

Qualifications

• Degree level or equivalent (not essential if has relevant working experience)
• 5-8 years relevant experience working in advisory compliance function covering Equities, with focus on Equities Derivative an advantage.
• Good understanding of regional rules and regulations preferred
• Business mandarin speaker and Chinese reader is an advantage
• Minimum 5 years relevant experience working in a compliance function preferably within the Equities advisory space
• Pro-active, self-motivated, assertive and well organised
• Ability to work independently and yet remain a strong team player
• Forward looking, focused on streamlining processes and increasing efficiency
• Flexible with the ability to multi-task
• Proactive approach to problem solving
• Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
• Personable, level headed and able work in harmony with others

ABOUT GOLDMAN SACHSAt 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 GS.com/careers.We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:© The Goldman Sachs Group, Inc., 2021. All rights reserved.Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Expected salary:

Location: Hong Kong

Job date: Tue, 25 Mar 2025 06:23:18 GMT

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