【ゴールドマン・サックス】Compliance, CF&O Compliance, Vice President, Tokyo
仕事内容
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. The team has members in Singapore, Tokyo, Bengaluru, Hyderabad, Dallas, London, New York, Salt Lake City, and Warsaw.
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
応募資格(必須経験など)
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