- 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.
- 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.
- 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.
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Compliance, Regulatory Practice Group, Vice President, Tokyo - Minato, 日本 - Goldman Sachs
説明
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:
Basic Qualifications
Preferred Qualifications
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.