Job Description
Compliance, Private Wealth Management Compliance, Vice President, Shanghai
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.

YOUR IMPACT
As an integral part of the Private Wealth Management (PWM) Compliance team, you will work in a highly collaborative and dynamic environment with PWM professionals, global PWM Compliance counterparts, other Compliance team members and other Goldman Sachs departments, including Legal and Internal Audit, Operations, Engineering and Human Capital Management to address an array of business, legal and regulatory matters encountered by the PWM business in Greater China, in addition to driving forward strategic business initiatives and projects.

You will also be working closely and providing on-going advice to the PWM business and PWM Management; assist them in analyzing compliance issues applicable to the business, reviewing business opportunities from a compliance perspective and addressing regulatory inquiries and handling client issues, and help drive forward strategic business initiatives and projects.

How You Will Fulfill Your Potential

Provide advice in real time to the PWM business on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting PWM, including on product suitability, client background and suitability assessment and risk profile evaluations.
Work with Legal and other Compliance functions on regulatory inquiries and client issues.
Interact with regulators on various matters.
Refine compliance program, controls and surveillance tools which enables compliance to conduct in depth reviews.
Ensure that appropriate policies and procedures are in place for PWM. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel. Develop, implement and provide training on relevant policies and procedures in compliance with relevant regulations and firm policies/initiatives to the CWM business.
Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.
Keep up to date with relevant regulatory and rule changes.

Skills & Experience We're Looking For

University degree holder/relevant professional or industry qualification
Minimum of 7 years relevant experience; preferably in compliance/control/legal function. Regulatory/auditing background will also be considered
Good understanding of the China regulatory framework for the private client business and products
Strong analytical skills and ability to exercise sound judgment and manage execution under pressure
Energetic, attentive to detail and capable of multi-tasking in a fast-paced environment
Excellent interpersonal skills and the ability to work effectively in a team-oriented setting, prioritize projects to meet tight deadlines. Highly motivated self-starter with an ability to work independently
Experience in surveillance, operational flow of products and system knowledge is an advantage
Strong oral and written communication skills in Chinese and English; able to communicate with impact at senior levels; able and willing to challenge

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 .

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

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