Goldman Sachs & Co. Compliance - Regulatory Practice Group, Securities - 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.


Are you interested in building relationship with various regulators, driving the firm's strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for an experienced professional to join our Hong Kong Regulatory Practice Group (RPG) who wants to use their legal and/or compliance skillset in a highly collaborative and dynamic environment.

This position is an integral member of the Regulatory Practice Group. This position focuses on regulatory inquiries, inspections and exams. Another core pillar of this role is advisory in regulatory reporting and position monitoring to Regulatory Operations and advisory to Business on AEJ disclosure regime relating to beneficial ownership and takeover rules. Ancillary to this role are regulatory affairs functions such as maintaining regulatory relationships and interactions in AEJ, coordinating regulatory consultation comments, track regulatory policy changes and drafting, updating of firmwide compliance policies and procedures.



  • Coordinate responses to regulatory inquiries, inspections and audits and regulatory communication

  • Track regulatory findings and observations and any remedial commitments to regulators

  • Build and maintain regulatory relationships in AEJ

  • Advise Business on AEJ disclosure regime relating to beneficial ownership

  • Deal with regulatory issues arising from transactions and the firm's investments e.g. joint ventures or mergers

  • Monitor firm wide correspondences with the Hong Kong regulators

  • Partner with Legal Department to give appropriate regulatory advice to Business


  • Excellent team work and interpersonal skills

  • Excellent organizational skills

  • Ability to identify and balance commercial considerations with regulatory and legal risk

  • Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics

  • Attention to detail and thoroughness of execution

  • Strong analytical and judgment skills

  • Excellent communication skills, written and verbal, in English and in Chinese

  • Minimum 5 years experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firms

  • Experience in regulatory reporting, takeover codes and/or interfacing with HKMA will be a plus

  • Private practice in legal and accounting firms is also considered Goldman Sachs is an equal opportunity employer.


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 ID2017-37203

Schedule TypeFull Time

LevelVice President/Executive Director


RegionAsia Except Japan


Business UnitRegulatory Audits & Inquiries

Employment TypeEmployee