【ゴールドマン・サックス証券】Compliance, Risk Governance, Analyst, Tokyo
仕事内容
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.
Global Compliance Employee Services, Analyst
Global Compliance Employee Services is responsible for handling various firmwide Compliance matters, mainly related to employees, such as processing employees’ registration, advising on personal trading, private investments & outside activities, preparing documents for various regulatory inquiries and inspection as well as implementing various global / firmwide Compliance initiatives.
The individual will work closely with other divisions and global counterparts to implement and improve work flows and identify and escalate reputational and regulatory risks.
応募資格(必須経験など)
Responsibilities included but not limited to:
• Process employee registration applications
• Discuss various employee registration related matters with global teams
• Coordinate and deliver Compliance orientation to new hires
• Provide inputs to global Compliance teams on Japan employees related matters (e.g. personal trading, private investment and outside activities)
• ·Assist in regulatory inspection by preparing various required documents
Basic Qualifications:
• Ability to handle multi-tasks
• Ability to process accurately and timely
• Fluency in Japanese and English
• Inter-personal skills and organizational skills
• Proactive and self-motivated