Compliance, Asset Management Compliance, Associate, Tokyo
Goldman SachsGLOBAL COMPLIANCE
Global Compliance is a critical independent control function, serving as the firm's second line of defense. It proactively prevents, detects, and mitigates compliance, regulatory, and reputational risks through a robust enterprise-wide risk management program. This involves assessing risks, monitoring regulatory changes, designing and implementing controls, policies, and training, conducting independent testing, and leading responses to regulatory inquiries and examinations. Our diverse team values sound judgment, intellectual curiosity, and adaptability to an evolving regulatory landscape.
Job Description:
This role is within the Asset Management Compliance team (AMC) in Tokyo, supporting the firm's global Asset Management business. Asset Management provides innovative investment solutions and dedicated client service to a diverse global client base, ranging from retail to financial institutions and intermediaries, helping them navigate markets and achieve their unique investment goals.
As a Compliance member, you will be an integral part of the AMC, providing critical daily advice and guidance on portfolio management, investing, fundraising, regulatory requirements, and reputational risk. You will collaborate extensively with various business lines and control functions, including Portfolio Management, Investing Teams, Sales/Marketing, Finance, Operations, Engineering, Legal, Risk, and Internal Audit. A strong interest in AM's business model and operational processes is essential.
Key Attributes & Skills:
- Proactive team player with a strong sense of urgency and collaborative spirit.
- Foundational understanding of financial industry.
- Ability to thrive under pressure, demonstrating a positive, hands-on, and solution-oriented approach
- Adept at working both independently and as part of a dynamic team
- Exceptional multi-tasking and problem-solving abilities, with a focus on practical implementation.
- Generalist mindset, comfortable with issue-spotting, engaging subject matter experts, and driving resolution.
Qualifications:
- Bachelor's degree required.
- 3-6 years of relevant experience in Compliance, Legal, Regulatory Affairs, or the Financial Services industry, preferably within Asset Management, is preferred.
- Fluent in Japanese (written and spoken) and business-level English.
- Demonstrated ability to manage multiple priorities in a fast-paced environment.
- Superior communication (oral and written), analytical, organizational, and project management skills.
- Strong judgment and ethical compass.
ABOUT GOLDMAN SACHS
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