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 & Responsibilities
The Employee Services Compliance Officer based in Singapore is responsible for registration/licensing and related matters for APEJ, with primary focus on Singapore. This person will coordinate and manage individual registration matters including applications, de-registrations, continuous professional training, and relevant and related reporting obligations in APEJ region. This person will work closely with various divisions to ensure compliance of regulatory requirements and handle enquiries in relation to personal trading, outside activities and business interests.
- Manage applications and other filings to comply with regulatory requirement in a timely manner
- Review all filings submitted to regulators to ensure completeness and accuracy
- Coordinate with various divisions on licensing and related matters
- Provide day-to-day Compliance advisory service from licensing and employee conduct perspective to all divisions
- Develop and maintain registration policies and procedures
- Develop and generate tools for monitoring and review. Work closely with all divisions including HCM and Technology
- Monitor relevant regulatory changes and provide recommendations to address implications if any
- Drive projects in relation to licensing and personal trading matters
Basic Qualifications
- Minimum of 3-5 years’ experience working in relevant Compliance role
- Pro-active, self-motivated, assertive, well-organized, and hands-on
- Ability to work independently with minimum supervision, but still a strong team player
- Flexibility and ability to multi-task
- Ability to resolve issues and handle conflicts
- Forward looking with a focus on streamlining processes and monitoring potential risk areas
Preferred Qualifications
- Experience in registration and licensing
- Knowledge of the key rules and regulations within Compliance
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.
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