GLOBAL COMPLIANCE – CF&O Compliance (VP, Tokyo)
At Goldman Sachs, the mandate of Global Compliance is to prevent, detect and mitigate compliance, regulatory, and reputational risk across the firm and help to strengthen the firm's culture of compliance.
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.
Compliance provides advice on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations around the globe.
Importantly, Compliance plays a key role in reviewing and effectively challenging transactions presenting compliance or reputational risks.Business Unit And Role Overview
Part of the Global Compliance Division, the firm's Control, Finance & Operating Divisions ("CF&O") Compliance team is a global team with responsibility for providing compliance coverage to the Control, Finance & Operating Divisions, comprised of Operations, Engineering, Controllers, Corporate Treasury, Risk, Corporate and Workplace Solutions, Corporate Planning & Management, Executive Office, Tax and Human Capital Management divisions and business-aligned operations functions.
CF&O Compliance contributes to the compliance mandate by: conducting risk identification, measurement and assessment, monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues, participating in firm responses to regulatory examinations, audits and inquiries, performing surveillance and investigations of business activities of the above-referenced CF&O groups, testing the effectiveness of controls, writing policies and procedures and communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative
Role And Responsibilities
In CF&O Compliance in Japan, you will provide Compliance coverage for the CF&O divisions in and/or supporting Japan. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate.
To Fulfill This Role And Responsibilities, You Will Be
Conducting risk identification, measurement and assessment
Monitoring for compliance with laws, rules, regulations and policies
Participating in firm responses to regulatory examinations, audits and inquiries
Performing surveillance and investigations of business activities
Conducting forensic reviews to monitor the CF&O divisions' compliance with regulations and firm policies
Communicating regulatory requirements and firm policy expectations to educate stakeholders
Articulating and maintaining the standards of conduct required of CF&O divisions, as well as the laws, regulations and policies governing these businesses to assist the firm in mitigating regulatory and conduct risk globally
How You Will Fulfill Your Potential
Advise, challenge and influence the CF&O divisions about regulations, policies and reputational risk
Identify, investigate and manage compliance issues involving the CF&O divisions
Analyze regulatory changes and enforcement actions to assess the impact to the CF&O divisions, and participate in work to ensure the business is able to support new requirements
Review surveillance alerts and conduct forensic reviews to monitor the CF&O divisions' compliance with regulations and firm policies
Recommend compliance testing work to be performed for the CF&O divisions
Draft and assist in the implementation of policies and procedures
Develop and deliver communication and training to the CF&O divisions
Qualifications And Skills
A strong candidate for Federation Compliance will satisfy the following criteria:
Bachelor's degree; advanced degree in relevant field (e.g., J.D., LL.M., M.B.A.) is a plus but not required
At least 8 years of work experience, including 3 years as a compliance officer, an internal auditor, or relevant risk management or regulatory experience in Operations/Risk Management division
Fluent in written and verbal Japanese and English
Clear, concise communications skills; able to communicate with impact at senior levels
Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
Sound judgment, ethics and integrity
Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgment
Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
Takes ownership of tasks, progresses them independently, and escalates to senior stakeholders when required.
Proactive, self-motivated, assertive and well organized
Knowledge of regulatory reporting regulations in Japan is a plus
Knowledge of regulations and practices related to the securities and derivatives markets in Japan is a plus
Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries is a plus
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.
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 atWe're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process
Learn more:
The Goldman Sachs Group, Inc., 2024. All rights reserved.
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.
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