Associate, Quality Control Associate, Quality Control …

Goldman Sachs
in Beijing, Beijing Shi, China
Permanent, Full time
Be the first to apply
Competitive
Goldman Sachs
in Beijing, Beijing Shi, China
Permanent, Full time
Be the first to apply
Competitive
Associate, Quality Control
MORE ABOUT THIS JOB
INVESTMENT BANKING
Our division works on some of the most complex financial challenges and transactions in the market today. Whether advising on a merger, providing financial solutions for an acquisition, or structuring an initial public offering, we handle projects that help clients at major milestones. We work with corporations, pension funds, financial sponsors, and governments and are team of strong analytical thinkers, who have a passion for producing out-of-the-box ideas.

Quatlity Control
As part of the internal control of investment banking business, quality control function is the second line of defense which should manage and control the risks associated with investment banking business, and should identify, the issues arising from transaction execution. The quality control function dynamically monitors and manages the investment banking business of securities firms throughout the transaction process and cover all aspects of the transaction, in order to provide preventative control as early as possible, and perform quality control and risk management during transaction execution.

RESPONSIBILITIES AND QUALIFICATIONS

Responsibilities

As part of the internal control of investment banking business, quality control function is the second line of defense which should manage and control the risks associated with investment banking business, and should identify, the issues arising from transaction execution. The quality control function dynamically monitors and manages the investment banking business of securities firms throughout the transaction process and cover all aspects of the transaction, in order to provide preventative control as early as possible, and perform quality control and risk management during transaction execution.

The responsibilities of quality control employee include but are not limited to:

  • Work with relevant divisions on executing IBD business quality control policies and procedures, define and optimize the goal, responsibilities, standard and procedures for quality control over IBD business, including IPO, follow-on offerings, corporate bond, M&A, and other types of investment banking business;
  • Review and assess whether IBD transactions meet business selection and internal review standards and requirements; whether the materials and documents submitted/filed/disclosed by deal teams comply with relevant rules and regulations, CSRC requirements and self-regulatory body rules; whether the bankers have diligently performed due diligence duties. Perform necessary onsite inspection and issue explicit onsite inspection opinion when material risks are identified in IBD transactions;
  • Assist and supervise relevant stakeholders in IBD transactions to perform ongoing supervision, bond entrustment management responsibilities;
  • Supervise the deal teams to complete archiving of working documents in accordance with relevant requirements, review the archiving; and
  • Perform other responsibilities required by regulators and/or the firm internally in relation to quality control function.

Qualifications
  • Undergraduate degree and above, Securities Professional License holder, CPA preferred;
  • 4 years and above investment banking business team execution experience, or IBD quality control working experience, sound knowledge of A-share market practice;
  • Familiar with the rules and regulations related to securities industry, solid accounting, legal and financial knowledge, familiar with the investment banking transaction process; and
  • Strong communication skills, analytical skills, high team work spirit, proficient in Chinese and English as working language.


ABOUT GOLDMAN SACHS
ABOUT GOLDMAN SACHS

At 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: https:// www.goldmansachs.com/careers/footer/disability-statement.html

© 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

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