Compliance, Regulatory Practice Group, Vice President, Tokyo

1日前

Minato Goldman Sachs

Compliance, Regulatory Practice Group, Vice President (Tokyo)

Responsibilities

The RPG team for Tokyo coordinates, on behalf of Goldman Sachs, responses to requests for information received by the firm from Japanese regulators. The team also periodically responds to requests for information from foreign regulators. The majority of requests handled by RPG seek to test and/or confirm Goldman Sachs' compliance with the laws and regulations applicable to its many businesses.

As the liaison between the firm and its regulators on matters of regulatory compliance, RPG team members work closely with business, engineering, operations, risk, compliance and legal teams throughout the firm. Working with and advising these stakeholders, RPG is responsible for helping ensure that the firm manages, and responds to, regulatory inquiries, examinations and other requests for information in a manner that meets our regulators' requirements and expectations. Accuracy, timeliness, organization and efficiency are essential.

In the course of their work, a Vice President on the RPG Tokyo team will, among other responsibilities: (i) research applicable rules and interpretive guidance, (ii) form and coordinate working groups of relevant firm personnel, (iii) interface with regulators regarding information requests and the firm's responses, (iv) conduct informational interviews and gather responsive documentation, (v) prepare written responses to information requests, (vi) coordinate in-person/web-based meetings with regulators, (vii) advise internal stakeholders on regulators' expectations and prior firm interactions, (viii) manage a docket of multiple regulatory matters (both inquiries and exams), (ix) monitor the firm's progress in completing undertakings made to regulators during the course of inquiries and exams, (x) keep detailed records of regulatory correspondence, (xi) advise firm stakeholders on potential enhancements to firm processes and controls identified during the course of regulatory interactions, xii) handles regulatory filing, xiii) develop applications for regulatory inquiries (trade inquiries) with Technology, and xiv) work on matters associated with Compliance Regulatory Affairs and Resources, which RPG belongs to within Tokyo office.

RPG team members attach importance to in-person learning and connectivity, and accordingly, this is an in-office role at the firm's Tokyo office, not a remote position.

An RPG Vice President must have the ability to:

  • Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and regulators;
  • Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders;
  • Grasp and keep abreast of relevant law, rules and policies;
  • Conduct expert research and data gathering;
  • Apply excellent analytical abilities to research and draft comprehensive, accurate and persuasive responses to diverse regulatory requests for information;
  • Effectively and efficiently conduct business by video, phone and in-person meetings with both internal and external stakeholders;
  • Review trading activity, market data and surveillance reports to assess compliance with financial instrument and exchange laws and relevant SRO rules;
  • Identify and recommend potential corrective actions to address regulatory issues surfaced during the course of exams and inquiries;
  • Organize and maintain large quantities of data and documentation in a dynamic environment;
  • Be unfailingly detail-oriented, so as to consistently produce accurate work product;
  • Work independently and exercise strong judgment when executing an assigned task;
  • Multi-task and have the ability to manage and advance multiple projects simultaneously;
  • Identify and effectively escalate potential issues to appropriate person(s);
  • Meet tight deadlines and comfortably operate in the face of time constraints;
  • Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded.

    • Basic Qualifications

  • Bachelor's degree;
  • At least five years of relevant work experience;
  • Proficiency with Microsoft Word, Excel and PowerPoint;
  • Fluent in English, both orally and in writing
  • Native Japanese fluency in Japanese, both orally and in writing;
  • Excellent time management, analytical and communication skills;
  • Integrity, motivation, intellectual curiosity and enthusiasm;
  • Familiarity with financial industry products and markets (in particular, equities-, options-, and fixed income-related products and markets), as well as corresponding rules and regulations.

    • Preferred Qualifications

  • Graduate degree in law, business, or other relevant program;
  • Outstanding graduate school and undergraduate credentials;
  • Significant experience representing financial institutions in interactions with financial industry regulators, particularly regulatory exams and inquiries.

    • 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 /careers.

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

    • Compliance, Regulatory Practice Group, Associate, Tokyo

      3日前

      Minato Goldman Sachs

      YOUR IMPACT · Are you passionate about building relationship with various regulators, driving the firm's strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for an experienced professional to join Regu ...

    • Compliance, Asset Management Compliance, Vice President, Tokyo

      1週間前

      Minato Goldman Sachs

      Compliance, Asset Management Compliance, Vice President or Associate, Tokyo · GLOBAL COMPLIANCE · Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accompl ...

    • Legal, Asset Management Legal, Vice President, Tokyo

      1日前

      Minato Goldman Sachs

      Legal, AWM Private Legal, Vice President, Tokyo · We are looking for a Japan-qualified attorney (bengoshi) to provide legal support to the Asset Wealth Management (Private) Division of Goldman Sachs in Tokyo, Japan ( AWM Private ). Candidates should have substantive experience w ...

    • Head of Compliance, Japan

      5日前

      Minato AbbVie Full time

      Job Description · Summary of Job Description: · The Head of Compliance is a leader of the local Affiliate Management Team and reports through the AbbVie Office of Ethics & Compliance Organization. He/she is responsible for providing leadership and direct oversight for AbbVie's c ...

    • Controllers, AWM Investment Accounting, Analyst/Associate, Tokyo

      1日前

      Minato Goldman Sachs

      Controllers - Investment Accounting (Asset & Wealth Management) - Analyst / Associate – Tokyo · CONTROLLERS · We are a global team responsible for ensuring the accuracy of the firm's financial and regulatory information by complying with the rules and regulations governing fina ...

    • Asset & Wealth Management, Private, Fund Management, Vice President, Tokyo

      2日前

      Minato Goldman Sachs

      ASSET & WEALTH MANAGEMENT · Bringing together traditional and alternative investments, we provide clients around the world with a dedicated partnership and focus on long-term performance. As the firm's primary investment area, we provide investment and advisory services for some ...

    • Corporate and Workplace Solutions, Hospitality Operations, Associate/Vice President, Tokyo

      4日前

      Minato Goldman Sachs

      Corporate and Workplace Solutions – Workplace Experience - On-Site Solutions (Hospitality and Document Management focus), Associate, Tokyo · OUR IMPACT · On-Site Solutions is comprised of Hospitality, Document Management and Facilities, aiming to provide a comprehensive and exce ...

    • Asset & Wealth Management, Alternatives Private Real Estate Operations, Vice President, Tokyo

      1週間前

      Minato Goldman Sachs

      ASSET MANAGEMENT · The Asset & Wealth Management Division (AWM) invests in corporate equity and debt, real estate equity and debt, and infrastructure-related assets and companies. The Asset & Wealth Management Division Alternatives Private investing business operates on a global ...

    • Japan Lead

      2週間前

      Minato 711 GlaxoSmithKline K.K. Full time

      Job Purpose · Background: · Getting ahead means preventing disease as well as treating it, and we aim to impact the health of 2.5 billion people around the world in the next 10 years. · To achieve our ambitious goals, we will accelerate the transformation by merging 2 functions ...

    • Japan Lead

      6日前

      Minato 711 GlaxoSmithKline K.K. Full time

      Job Purpose · Background: · Getting ahead means preventing disease as well as treating it, and we aim to impact the health of 2.5 billion people around the world in the next 10 years. · To achieve our ambitious goals, we will accelerate the transformation by merging 2 functions ...

    • Human Resources Manager Japan

      3日前

      Minato Marsh McLennan Companies Full time

      Description: · SUMMARY · Human Resources Managers coach, support and advise People Managers to develop and enhance the quality of people management with the intent of having a direct and positive impact on the quality of the colleague experience. He/ She will be the key to the ...

    • Scientific Advisor or Medical Advisor, Neurology

      1週間前

      Minato AbbVie Full time

      求人内容 · Summary of Job Description: · Reporting to the Medical Affairs Manager, this position represents the affiliate's medical/scientific voice of expertise for assigned product(s) and relevant therapeutic areas. The position provides medical / scientific expert advice / guidanc ...

    • Senior Application Engineer

      1日前

      Minato Cummins Inc.

      Description · Obtains input and negotiates with Subject Matter Experts and Value Package Introduction (VPI) Teams and delivers product data and installation requirements to Application Engineers and OEMs · Makes decisions in the areas of product selection, design, and integrati ...