【ゴールドマン・サックス】Compliance, Global Markets Compliance, Associate, Tokyo
仕事内容
GLOBAL COMPLIANCE
Our 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.
RESPONSIBILITIES AND QUALIFICATIONS
Marketing Materials Compliance ("MMC") within Global Banking & Markets Public Compliance reviews trade ideas, detailed market analysis, summaries of Investment Research, educational materials, and other written materials regarding financial products (e.g., equities, fixed income, currencies, commodities). MMC works closely with other departments, such as wider Divisional Compliance, ECommunications Compliance, Information Technology, Legal, and Internal Audit. MMC performs compliance oversight within a fast-paced environment where teamwork and collaboration are highly valued. Our focus is on practical implementation of laws/regulations.
At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally. From collaborative work spaces and mindfulness classes to working from home and flexible work options, we offer our people the support they need to reach their goals in and outside the office.
HOW YOU WILL FULFILL YOUR POTENTIAL
・Review written materials for potential conflicts of interest, compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and data licensing issues, and other regulatory or reputational risks to the firm. (70% of daily tasks)
・Undertake surveillance of compliance with various written communications policies
・Work with Divisional Compliance and Legal to analyze rule changes and provide input on updating policies regarding written communications
・Liaise with Technology on system changes and enhancements
・Analyze surveillance results and data to produce management reports
・Create, update, and deliver training regarding applicable laws, regulations, policies and procedures, and methods and best practices for reviewing communications
・Identify potential targets for investigation and conduct associated surveillance
・Draft and maintain disclosures and risk factors to be used in marketing materials
・Participate in regulatory and internal investigations and audits
応募資格(必須経験など)
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
Basic Qualifications:
・Bachelor's degree: Advanced degree or experience in securities industry a plus
・Reading/writing language proficiency skills for reviewing and commenting on marketing materials prepared in English and Japanese
・Good drafting ability: Drafting will be primarily focused on providing comments on written material and drafting short policy/guideline documents and trainings – clarity and brevity is essential
・Must be a proactive team player with a strong sense of urgency and ability to get along with others
・Must be comfortable working with colleagues in different geographic regions and time zones
・Must work well under pressure
・Excellent multi-tasking abilities required
・Ability to implement solutions is critical
・Strong interpersonal, communication (live, phone, email), and analytical skills
・Must be comfortable addressing problems where there is no clear cut answer and making decisions based on incomplete information
・Should be detail oriented
・Must be comfortable issue-spotting