Compliance, Compliance Testing Group and Communication Compliance Surveillance, Analyst, Beijing
Goldman Sachs · Beijing, China · 24d ago
GLOBAL COMPLIANCE
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.
HOW YOU WILL FULFILL YOUR POTENTIAL
This is an exciting opportunity for an individual who enjoys investigative work and possesses some knowledge of sales and trading, portfolio management and/or risk management functions.
The successful candidate will be responsible for (1) reviewing the electronic communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm, and (2) creating and executing detailed testing to assess compliance with regulations and firm policies.
The individual will work closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering.
For the review of electronic communications, the primary responsibilities include:
Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
Identify, document and resolve potential regulatory/compliance issues
Partner with coverage area and generate and review monthly reporting summaries on issues identified
Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
Create and test new surveillances; create efficiencies with existing surveillances
Design, testing, and maintenance of E-Communication surveillance
Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator
For the Compliance testing work, the primary responsibilities include:
Propose methods of testing and execute plans discussed and agreed with a team leader
Gather data, perform analyses, and document results
Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
Leverage strong communication skills to interact with Compliance and senior business management
Team with colleagues around the globe to share findings and refine processes
Execute multiple projects at the same time and meet tight deadlines
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
Bachelor’s Degree with 3-4 years of working experience
Mandarin language skills required
Excellent written and verbal English skills, with ability to describe complex issues in a clear and concise manner
Integrity, motivation, intellectual curiosity, and enthusiasm. Strong interpersonal skills
Attention to detail and strong follow-up skills
Excellent oral and written communications skills. Excellent interview, presentation, time management, analytical, and problem solving skills with the ability to exercise sound and balanced judgment
Broad knowledge of financial products, markets, and laws and regulations in Asia. Or alternatively, knowledge of products, the securities business and sales practice/market conduct rules and regulations, i.e., prior experience in sales and trading, product controllers, compliance, legal, regulatory, audit or risk management functions
Ability to handle multiple tasks simultaneously and work under pressure
Ability to juggle competing priorities and stakeholder concerns
Preferred (but not required):
Prior document and/or e-discovery review experience
Financial instruments product knowledge (a Financial Engineering qualification, CFA, or FRM qualifications)
Compliance, auditing, testing, legal, or regulatory/law enforcement experience
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