• Compliance Division, Compliance Officer, Analyst, Seoul

    Location(s) KR-Seoul
    Job ID
    2018-44463
    Schedule Type
    Full Time
    Level
    Analyst
    Function(s)
    Compliance
    Region
    Asia Except Japan
    Division
    Compliance
    Business Unit
    Securities Division Compliance
    Employment Type
    Employee
  • MORE ABOUT THIS JOB

    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. 

     

    YOUR IMPACT

    This is an exciting opportunity for an individual who is a self-starter, who exudes energy, curiosity, and enthusiasm to join the Korea Compliance team to provide daily coverage of the equities sales/trading business.  The individual will also be exposed to other businesses operating in the Korea market and will be involved in performing other central Compliance functions.   This role will provide endless opportunities to learn and develop the skills required to be a highly competent Compliance officer with a deep understanding of the various functions that exist in Global Compliance.  This individual should be comfortable handling multiple projects and having daily interactions with many different teams including sales and trading employees as well as federation employees.

     

    HOW WILL YOU FULLFILL YOUR POTENTIAL

    GSKO Compliance – GSKO Compliance in Korea provides compliance coverage and support to the Division's business units in GSKO, the broker-dealer entity in Korea. GSKO Compliance also works closely with other firm departments, such as Legal, Controllers, Credit, Treasury, Technology, Operations and Internal Audit.  This is mainly a trading floor-based compliance function providing real time support to Securities Division but will also be involved in other central compliance functions.

     

    Responsibilities

    Provide coverage for the equities sales/trading businesses in their day to day business operations, new products and markets initiatives

    Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in Korea in order to assist the firm in avoiding economic, regulatory/legal liability and reputational risk

    Devise and implement strategic solutions with senior compliance management and other control side departments to support the 5 pillars of the team’s function

    Conduct various compliance surveillances and reviews

    Handle regulatory inquiries and individual registration

    Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary.

    Conduct regular compliance training for new hires.

    RESPONSIBILITIES AND QUALIFICATIONS

    BASIC QUALIFICATIONS

    Minimum of 2 years experiences in financial industry

    Fluency in both Korean and English

    Effective communication and project management skills

    Strong analytical skills and ability to exercise judgment and manage execution under pressure

    Inquisitive and proactive in identifying risks and proposing solutions

     

    PREFERRED QUALIFICATIONS 

    Control function experience covering Equities sales and trading in the Korea market preferable

    Working knowledge in Korea securities regulations, exchange rules on listed securities, futures and derivatives

     

     

     

    ABOUT GOLDMAN SACHS

    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

    © The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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