Compliance, Investment Banking Division Compliance, Tokyo, VP Compliance, Investment Banking Division  …

Goldman Sachs
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Last application, 16 Apr 21
Goldman Sachs
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Last application, 16 Apr 21
Compliance, Investment Banking Division Compliance, Tokyo, VP
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.


Job Summary
You will work as part of the Investment Banking Division Compliance team ("IBD Compliance") with a primary focus on compliance matters related to the firm's Transaction Banking business that provides cash management and related services to corporate clients. The position requires regulatory expertise, compliance risk management experience and analytical skills to assist the business in complying with applicable regulations. You will be involved with initiatives of varying complexity; work on multiple tasks while maintaining attention to detail; and need to satisfy high priority and time-sensitive deliverables on a day-to-day basis. In addition to working collaboratively with fellow team members and global counterparts in IBD Compliance, you will regularly interact with Transaction Banking business professionals, other compliance teams and other Goldman Sachs departments, including Legal, Internal Audit, Finance, Operations, Technology and the Conflicts Resolution Group.

Your Responsibilities:
  • Providing advice and compliance oversight to IBD personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues
  • Developing and implementing policies, procedures and best practice standards for IBD and Transaction Banking
  • Creating and implementing new controls and surveillances to mitigate risks to the firm by analyzing the transactional processes used in the Investment Banking Division, as well as the activities and actions of individual bankers
  • Assisting other compliance teams in monitoring IBD activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs
  • Creating and implementing live and online compliance training programs to educate business professionals on applicable compliance requirements, legal issues and regulatory changes
  • Assisting in responding to regulatory inquiries and investigations
  • Review and approve marketing / advertising
  • Execute Compliance Risk Assessments

Basic Qualifications:
  • Strong language skills both in English and Japanese
  • Bachelor's degree required
  • 5 to 7 years of experience in compliance or law, preferably related to Transaction Banking, is a plus
  • Regulatory background or strong knowledge of Japanese banking regulations
  • Excellent communication skills (oral and written) and relationship building abilities
  • Working knowledge of Microsoft Office tools: Word, Excel, and PowerPoint
Preferred Qualifications:
  • Detail-oriented and able to produce quality work product, even when working under tight time frames
  • Able to effectively summarize, communicate and defend positions
  • A critical thinker who is willing to challenge the status quo
  • Possess strong analytical, organizational, researching and fact-gathering skills
  • A proactive team player, who enjoys working collaboratively
  • A quick learner who can adapt well to a fluid regulatory and business environment
  • Possess the ability to multi-task and adapt to new situations and a dynamic work environment
  • Works well under pressure and have a positive, hands-on, "can do" attitude
  • Be creative, with the ability to devise and implement innovative solutions


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 .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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