Compliance Division, Investment Banking Division Compliance, Vice President, Australia and New Zealand, Sydney Compliance Division, Investment Banking Division  …

Goldman Sachs
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 10 Aug 20
Goldman Sachs
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 10 Aug 20
Compliance Division, Investment Banking Division Compliance, Vice President, Australia and New Zealand, Sydney
The Corporate Advisory Division (known globally as the Investment Banking Division (IBD)) includes industry groups and product groups that focus on debt financing, M&A, financial sponsor transactions and/or derivatives solutions. This position will be based in Sydney, Australia as an integral part of the IBD Compliance team.

The candidate will also work as part of the broader Asia Pacific IBD Compliance team that is responsible for addressing a diverse array of regulatory, legal and business issues encountered by IBD. In addition, the candidate will regularly interact with other compliance teams and other Goldman Sachs departments, including but not limited to Legal and Internal Audit, Conflicts and Business Selection, Finance, Human Capital Management and Operations.

  • Providing advice for IBD on compliance, regulatory, legislative, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.
  • Assessing and determining how to mitigate risk to the firm by analyzing the transactional processes used in IBD, as well as the activities and actions of individual bankers.
  • Policies and Procedures. Ensuring that appropriate policies and procedures are in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
  • Work closely with Legal and the business to fulfill requirements.
  • Controls/Testing/Monitoring. Create controls, design and conduct surveillance and/or forensic reviews to assess the effectiveness of controls and ensure adherence to laws, regulations and firm policies and procedures of IBD activities.
  • Design, execute and deliver live and online training on divisional policies and procedures.
  • Regulatory Matters. Analyze and implement any relevant regulatory updates that impact IBD. Assist investment bankers and Legal in responding to regulatory inquiries, investigations and inspections .

  • Bachelor's degree and an MBA, Qualified Lawyer or other similar advanced degree or qualification
  • 5+ years related work experience, preferably in a compliance or legal role at an investment bank, securities company or a law firm
  • Experience in working with regulators a plus
  • A high level of English is required.
  • Ability to communicate confidently and effectively with a diverse audience
  • Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with investment bankers
  • Quick learner who can adapt well to a fluid regulatory and business environment
  • Organized, detail-oriented, enthusiastic and professional
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Ability to work independently, but still be a strong team player


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