Compliance, Compliance Testing Group and Communication Compliance Surveillance, Analyst, BeijingNew

Goldman Sachs · Beijing, Beijing

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

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

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or an