Compliance, GBM Public Compliance - Equities, Associate, Tokyo

Compliance division, GBM-Public Compliance, Associate/Analyst, Tokyo

Job Summary & Responsibilities

The Goldman Sachs Group is a bank holding company and a leading global investment banking, securities and investment management firm. Goldman Sachs provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. 
We are committed to growing our distinctive Culture and upholding our core values which always place our client's interests first. These values are reflected in our Business Principles, which emphasize integrity, commitment to excellence, innovation and teamwork. 

GBM-Public Compliance is located on the Trading Floor and is responsible for comprehensively identifying and managing the regulatory, legal and reputational risks of the Global Banking & Markets - Public. The role is focused on providing Compliance coverage for the Equities’ functions (such as sales and trading) and products (such as stocks, futures and OTC derivatives).  This is an opportunity for a responsible team player without Compliance experience to become a Compliance professional while working on challenging tasks and, depending on their particular responsibilities, interact with sales people and traders as well as other Goldman Sachs compliance and legal professionals, both in and outside Japan. 

The primary responsibilities of GBM-Public Compliance are: 

• Review daily trade surveillance reports 
• Identifying and investigating suspicious activities 
• Develop compliance-related policies and procedures 
• Develop and implement compliance training 
• Give advice to GBM-Public personnel on compliance issues regarding transactions, new products, errors, etc. 
• Interface with Japanese regulatory authorities regarding regulatory inspections, questions on regulations, lobbying for regulatory change, etc. 
• Identify and manage regulatory, legal and reputational risks 

The actual responsibilities assigned to the successful candidate will depend on their experience and the needs of GBM-Public Compliance at the time. Candidates who stay in GBM-Public Compliance will, over time, have the opportunity to engage in most or all of the activities above. 

Requirements:

• Good communication skills 
• Fluency in Japanese and English both in written and verbal
• Desire to work on the trading floor, sometimes interacting directly with salespersons and traders in an often fast-moving environment 
• Proactive attitude (“self-starter”) 
• Ability to think through issues logically and make decisions on their own, and make necessary escalation 
• Good PC skills 
• Attention to detail 
• No compliance experience necessary, but candidates with experience with equities products are encouraged to apply.  
   

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.

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