Compliance - Compliance Testing Group - Compliance Testing(Japanese), Senior...

Goldman Sachs International
Apr 27, 2018
Apr 29, 2018
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. 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.

This is an exciting opportunity for an individual who is a self-starter, who exudes energy, curiosity, and enthusiasm to join the firm's Compliance Testing Group to conduct forensic reviews of the various Divisions within the firm. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm's policies, procedures and compliance control inrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses, including sales and trading employees, investment bankers, portfolio managers, merchant bankers, and technologists.

Compliance Testing Group Team has a global reach and is comprised of individuals with varying backgrounds and experience (including former auditors, accountants, regulators, prosecutors, compliance professionals, and lawyers), located in New York, Salt Lake City, London, Hong Kong, Tokyo, Singapore, and Bengaluru. The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm's businesses and the rules and regulations under which the firm operates.

  • Propose methods of testing and execute plans discussed and agreed with a team leader
  • Gather data, perform analyses and document results
  • Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals
  • Meet tight deadlines
  • Multi-task - have the ability to work on several different reviews with different individuals at the same time
  • Leverage strong communication skills to interact with Compliance and business senior
  • management
  • Team with colleagues around the globe to share findings and refine processes

  • Bachelor's Degree
  • Bilingual language skills in English and Japanese required as the candidate will be working with documentation in both languages
  • Knowledge of financial products, markets and regulatory policies
  • Knowledge of the securities business and sales practices
  • Excellent interview, presentation and written communication skills
  • Excellent time management, analytical and communication skills
  • Integrity, motivation, intellectual curiosity and enthusiasm
  • Knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful.
Preferred Qualifications
  • Auditing, testing, accounting, regulatory/law enforcement or trading experience
  • Operational or Compliance experience of Regulatory Reporting and/ or Client Assets preferable
  • Experience in the financial services industry, either working for another broker dealer, law firm, Big 4 firm or regulator
  • Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be useful)
  • Understanding of information technology systems and standard system implementation methodologies
  • Understanding of accounting

ABOUT GOLDMAN SACHS The 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.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.