Compliance, Global Markets Compliance, Senior Analyst / Associate, Shenzhen
MORE ABOUT THIS JOB 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. RESPONSIBILITIES AND QUALIFICATIONS
Global Markets Division Compliance takes an active and critical role in assisting Global Markets Division Management to develop the business in China, and supervise/monitor the business running to ensure it is in line with internal control and external regulatory requirements. The candidate will work closely with other firm departments, such as Business, Legal, Controllers, Risk, Technology, Operations and Internal Audit.
This is a position based in Shenzhen providing support mainly to futures brokerage business, and also dealing with regulatory affairs for the futures broker at entity level. RESPONSIBILIITES
- Work closely with Chief Risk Officer on general regulatory affairs, identify applicable rules and handle regulatory interactions
- Address day-to-day questions and issues that arise in the China futures business
- Conduct daily and periodic trade surveillance and other monitoring workflows
- Coordinate regulatory reporting tasks among futures sales & trading as well as other departments
- Monitoring business activities to ensure compliance with appropriate rules and firm policies
- Roll out various Compliance trainings
- Assist in data management and analytics for ad-hoc projects across the futures product range
- Minimum three years of working experience in financial industry
- General knowledge of China futures laws and regulations, futures products and services
- Strong analytical skills, attention to details and the ability to exercise balanced judgment
- Effective communication and coordination skills are required and the ability to handle multiple tasks simultaneously
- Self-starter who can work under pressure
- Excellent written and oral English, Mandarin is essential
ABOUT GOLDMAN SACHS
- Prior Compliance/Legal experience within futures products/services/industry
- Education background in Law
- Project management experience
- Futures p rofessional exams passed
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