Goldman Sachs & Co. Compliance - Investment Banking Division Compliance - Associate/Vice President - Hong Kong in Hong Kong, Hong Kong


GLOBAL COMPLIANCEOur 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.

YOUR IMPACT As an integral part of the Asia Pacific IBD Compliance team, you will work in a highly collaborative and dynamic environment with other Compliance team members and other Goldman Sachs departments, including Legal and Internal Audit, Conflicts Resolution, Finance, Human Capital Management and Operations, to address an array of business, legal and regulatory matters encountered by the Investment Banking Division across the Asia Pacific region. The Investment Banking Division comprises industry and product groups that focus on leading and innovative financing (debt and equity), M&A and derivatives transactions as well as financial advisory assignments.



  • Controls/Surveillance. Create controls and surveillances to verify adherence to laws, regulations and firm policies and procedures. Assess and determine how to mitigate risk to the firm by analyzing transactional processes used in the Investment Banking Division and reviewing the activities and actions of individual bankers.

  • Testing/Monitoring. Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.

  • Training. Prepare and deliver live and online training to the Investment Banking population on divisional policies and procedures.

  • Policies and Procedures. Ensure that appropriate policies and procedures are in place for the Investment Banking Division. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel.

  • Advice. Provide advice in real time to the Investment Banking Division on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.

  • Regulatory Matters. Assist the Investment Banking Division and Legal in responding to regulatory inquiries, investigations and inspections.


  • Bachelor's degree with a minimum of 5 years of professional experience of which at least 3 years are in the finance industry.

  • Fluency in English and Mandarin (speaking, reading and writing)

  • Highly motivated and adaptable team player with a positive, "can do" attitude who enjoys working collaboratively.

  • Strong analytical, research and fact-gathering skills.

  • Highly organized, accurate and detail-oriented with sound judgment and integrity.

  • Excellent interpersonal, communication and presentation skills, both written and verbal.

  • Ability to work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment.

  • Quick learner and self-starter who can work effectively with minimal supervision.

  • Experience with Equity Capital Markets, Debt Capital Markets, M&A, Derivatives and/or Structured Products transactions.


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., 2017. All rights reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

Location(s)HK-Hong Kong

Job ID2017-14450

Schedule TypeFull Time

LevelVice President/Executive Director


RegionAsia Except Japan


Business UnitIBD Compliance

Employment TypeEmployee