Compliance, Compliance Testing Group, Associate, Singapore Singapore · Singapore · Associate

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.
Business Unit and Role Overview
Compliance Testing Group ("CTG") is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes. CTG's global team (with locations in New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals, lawyers and traders). The individual will work closely with Compliance and business management, and gain an understanding of both the firm's businesses and the rules and regulations under which the firm operates.
This is an exciting opportunity for an individual who enjoys investigative work and possesses deep knowledge of sales and trading, portfolio management and/or risk management functions across a variety of asset classes. An ideal candidate will leverage their prior experience to investigate whether activities and practices comply with policies and regulations and the firm's compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and engineers.
Responsibilities
Propose methods of testing and execute plans discussed and agreed with a team leader
Gather data, perform analyses, and document results
Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
Leverage strong communication skills to interact with Compliance and senior business management
Team with colleagues around the globe to share findings and refine processes
Execute multiple projects at the same time and meet tight deadlines
Basic Qualifications
Bachelor's Degree
Broad knowledge of financial products, markets, and laws and regulations in Asia. Or alternatively, knowledge of products, the securities business and sales practice/market conduct rules and regulations, i.e., prior experience in sales and trading, product controllers, compliance, legal, regulatory, audit or risk management functions
Ability to describe complex issues in a clear and concise manner
Excellent interview, presentation, communication, time management, and analytical skills
Integrity, motivation, intellectual curiosity, and enthusiasm
Knowledge of Microsoft Word and Excel; additional knowledge of Alteryx is useful
Preferred Qualifications
Financial instruments product knowledge (a Financial Engineering qualification, CFA, or FRM qualifications)
Working knowledge of products offered by the Equities, Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks
Compliance, auditing, testing, legal, or regulatory/law enforcement experience
Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator
Familiarity with Business Intelligence and AI tools
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
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
Healthcare & Medical Insurance
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees' priorities.
Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.
Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Benefits at Goldman Sachs
Read more about the full suite of class-leading benefits our firm has to offer.
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