【ゴールドマン・サックス】Compliance, Investment Banking Compliance, Senior Analyst / Associate, Tokyo
仕事内容
How You Will Fulfil Your Potential
Advice. Provide advice in real time to Investment Banking personnel on compliance, regulatory, policy and reputational issues, and on new business initiatives and significant business changes affecting the firm.
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 Investment Banking and reviewing the activities and actions of individual bankers.
Policies and Procedures. Ensure that appropriate policies and procedures are in place for Investment Banking. 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.
Regulatory Matters. Work with Investment Banking and Legal in responding to regulatory inquiries, investigations and inspections.
Testing / Monitoring. Test and monitor controls, surveillances, and procedures to assess their 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 and relevant laws, regulations and risks.
応募資格(必須経験など)
SKILLS & EXPERIENCE WE’RE LOOKING FOR
Bachelor’s degree.
2+ years related work experience, preferably in a compliance, legal or business role at an investment bank, securities company or law firm.
Has obtained, or will obtain within three months of being hired, the following qualifications:
JSDA Class 1 Representative Exam / 一種外務員資格試験
JSDA Internal Control Manager Exam / 内部管理責任者資格試験
Highly motivated and adaptable team player with a positive, “can do” attitude who enjoys working collaboratively.
Quick learner and self-starter.
Organized, accurate and detail oriented.
Possesses sound judgment and acts with integrity.
Excellent interpersonal, communication and presentation skills, both written and verbal.
Strong analytical, research and fact-gathering skills.
Ability to work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment.
Preferred Qualifications
Legal or Compliance experience in the finance industry, including experience with Equity Capital Markets or M&A transactions.
MBA, Law or similar advanced degree or qualification is preferred but not required.
Fluency in English and Japanese with a strong command of speaking, reading and writing in both languages.