Compliance, Control Room, Associate, Tokyo

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.

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Tokyo. The Tokyo Control Room is 1 of 7 Goldman Sachs Control Rooms globally (including New York, Salt Lake City, London, Hong Kong, Tokyo, Sydney and Bengaluru).

The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's advisory side businesses and public side businesses.

Principal Responsibilities:

• Interacting with the Investment Banking Division (IBD), Asset Management Division (AMD), Global Markets Division (GMD) and other business divisions in order to maintain the Firm's Confidential Lists, Restricted Trading List and other control lists
• Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
• Reviewing research publish by the Global Investment Research Division (GIR) to ensure compliance with certain legal and regulatory obligations
• Applying the Global Research Settlement rules and Firm's policies to monitor, pre-approve and facilitate communications between Equity Research and IBD personnel
• Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
• Working with cross regional team members on internal projects

Basic Qualifications:

• Minimum of 2-5 years of Compliance or Legal-related experience in financial services preferred
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Proactive and willing to take on issues/responsibilities that require focus and determination
• Ability to work as a member of a team in a fast-paced environment
• Detail-oriented with ability to multitask, organize and prioritize
• Excellent written and verbal communication skills in English and Japanese

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.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

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