Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance.
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.
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.
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
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
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.