Global Banking & Market, Regional Compliance, Associate, Seoul

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.

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 ergonomic services to wellbeing and resilience offerings, we offer our Compliance professionals the flexibility and support they need to reach their goals in and outside of the office.

How You Will Fulfill Your Potential

The Compliance function consists of 5 pillars: advisory, training, surveillance, policy & procedures and regulatory interface.

Responsibilities

• Provide coverage for the sales/trading businesses in their day to day business operations
• Conduct various trade surveillances and programmatic reviews
• Conduct regular compliance training for new hires.
• Preparing and filing regulatory reports and other management reports
• Maintenance of policies and procedures
• Support senior compliance management in handling regulatory inquiries/inspections and other internal investigations/audits
• Support the maintenance of the Responsibilities Map framework

SKILLS & EXPERIENCE WE’RE LOOKING FOR

• Minimum of 3 years experiences in financial industry
• Strong analytical skills and ability to exercise judgment and manage execution under pressure
• Effective communication and project management skills
• Inquisitive and proactive in identifying risks and proposing solutions
• Control function experience covering Equities sales and trading in the Korea market preferable
• Working knowledge in Korea securities regulations, exchange rules on listed securities and derivatives
• Fluency in both Korean and English

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