Business Unit Compliance

Goldman Sachs Bank AG; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

Goldman Sachs in Singapore seeks an Analyst/Associate for AM Compliance to advise business teams on regulatory requirements and manage compliance risk. You will interact with Portfolio Management, Sales, Finance, Operations, Legal and Internal Audit to support regulatory readiness and adherence across Asset Management.

The role emphasizes ownership, proactive communication, and the ability to adapt to a changing regulatory landscape within a leading global firm.

Qualifications

• 1-3 years as Analyst or 3-7 years as Associate in Compliance or risk control
• Risk and control focused with sound judgment
• Able to work independently and collaboratively with diverse stakeholders

Responsibilities

• Provide day-to-day advisory to Asset Management teams on regulatory requirements
• Keep up-to-date with regulatory changes and implement them
• Assist regulatory reviews, inspections, investigations, or inquiries
• Ensure timely and accurate filing of regulatory documents
• Identify mitigations for regulatory or reputational risk issues
• Investigate and resolve day-to-day compliance issues across groups
• Conduct compliance monitoring and investigations as required
• Review marketing materials for regulatory compliance
• Handle complaints and maintain records for regulators
• Deliver compliance trainings
• Develop and maintain policies and procedures
• Review new instruments for compliance considerations
• Coordinate with Technology on controls enhancements
• Participate in global projects

Skills

Compliance experience

Risk awareness

Communication skills

Team player

Education

University degree

Job description

GLOBAL COMPLIANCE

Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes this 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.

Job Description

This position sits in divisional compliance and is focused on Asset Management (AM) business within Asset and Wealth Management. AM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.

AM Compliance is seeking an Analyst / Associate to join the AM Compliance team in Singapore. The individual will also be part of the broader AM Compliance team, which provides daily advice to AM’s various business teams on portfolio management, investing, fundraising, various regulations applicable to Asset Management business, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM’s Portfolio Management teams, Sales/Marketing, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM’s business model and operational processes.

Principal Responsibilities include

• Provide advice to the various Asset Management business teams in their day-to-day business operations.
• Keep up-to-date with relevant regulatory/rule changes and driving the implementation of such regulatory/rule changes.
• Assist with regulatory reviews, inspections, investigations, or regulatory inquiries.
• Ensure filing of regulatory documents timely and accurately
• Identify and advise mitigations for regulatory and/or reputational risk issues.
• Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm.
• Perform Compliance monitoring/investigations, as required by regulation or internal policies and procedures.
• Perform Compliance review on marketing materials or other documents, as required by regulation or internal policies and procedures.
• Handle complaints, maintain proper internal record and report to regulators as required.
• Conduct Compliance trainings
• Develop and maintain compliance policies and procedures, outlining firm policies, regulations and best practices.
• Participate in the review and evaluation of new instruments and activities to identify compliance issues and control needs.
• Advise and coordinate with Technology for control developments/enhancements.
• Miscellaneous global projects as required.

Qualifications

• 1-3 years (Analyst) or 3 to 7 years (Associate) of experience in Compliance, Legal or other risk control functions, preferably in asset management
• Risk and control focused individual with sound judgment
• Takes ownership of tasks/projects and is detail oriented
• Ability to work independently while at the same time be a proactive team player who enjoys working collaboratively
• Possess effective interpersonal and communication skills, with the ability to resolve issues, build consensus among groups of diverse stakeholders
• Ability to multi-task and work well under pressure and have a positive, hands-on, "can do" attitude and adapt to changes
• Additional Asian language skills preferred to facilitate effective communication with regional stakeholders, support the review of local-language marketing and regulatory materials, and assist in navigating regulatory requirements across Asian jurisdictions.
• University degree holder
  

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 GS.com/careers.

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.

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full‑time and emergency back‑up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs