Asset & Wealth Management Private, KYC Operations, Analyst/ Associate, Tokyo

 

ABOUT GOLDMAN SACHS

 

At Goldman Sachs, we connect people, capital and ideas to help solve problems for our clients. We are a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals

ABOUT OUR ROLES

 

Asset Management Operations We provide customized service to our clients and enable our business to grow the Asset Management franchise across traditional and alternative products. Our teams execute within a front to back operating model, delivering support across the client, product, and investment lifecycle. We also conduct risk oversight, provide change management, business intelligence, and market solutions for the division.

Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. Alongside this vital service delivery role, Operations provides essential risk management and control, preserving and enhancing the firm’s assets and its reputation. Operations span all product lines and markets, serving as internal business partners who develop the processes and controls, and help to specify the systems that deliver accuracy, timeliness, and integrity to our business.

 

The AM Alts Pvt KYC Group sits within AM Alts Pvt Operations and manages the control framework and oversight of a broad spectrum of firm policies that impact the client on-boarding process. The team closely works with Policy & Quality Analytics, Legal, Financial Crime & Compliance teams for successful implementation of policy and control oversight to meet regulatory obligations. The team provides opportunity for an experienced, dynamic, and risk-aware individual to take part in shaping and ensuring compliance with the control framework related to a broad spectrum of firm policies, including but not limited to Know-Your-Client, Client Implementation and Enhanced Due Diligence. We also endeavor to provide an excellent client/partner experience while helping to educate our stakeholders on the nuances of requirements per region.

 

JOB RESPONSBILITIES

HOW YOU WILL FULFILL YOUR POTENTIAL

Undertake customer due diligence checks to ensure adherence to the Firm’s Anti Money Laundering policies, procedures, and regulatory framework (such as AML/KYC regulations, FIEL, Dodd Frank, EMIR, MiFID, FATCA, etc.).Conduct PEP, sanction and adverse media screening and escalate any areas of concern to Legal and CompliancePerform quality assurance reviews on cases delivered by the team, where necessary, to ensure they are in line with internal policies and regulatory standardsWork closely with key stakeholders (Business, Financial Crime & Compliance, Legal, Operations, Middle Office) in a fast-paced environment to ensure a seamless front to back onboarding and assist with the establishment of new client relationships to facilitate deal investmentsProvide ongoing training and support to junior team members and partner with Compliance to deliver regular AML trainings to internal teams (Business, MO, Operations) that are involved in the onboarding processWork closely with Compliance team to implement new regulations and lead the development of new policies and procedures to reflect changing regulatory requirementsLead strategic initiatives to improve the process efficiency and customer experienceAssist Compliance team in dealing with regulatory enquiries relating to the firm’s AML policies and processes.Lead remediation projects to address AML/Financial Crime compliance findings identified by Internal AuditReport desk metrics, key risk indicators, risk control self-assessment and provide regular AML risk updates to senior stakeholders in Operations, Legal, Financial Crime Compliance and the MLROTimely escalation of any questions or concerns around obtaining requirements in order to fulfill our regulatory obligations

 

BASIC QUALIFICATIONS

Similar AML/KYC role experiences within financial services firmKnowledge of financial markets and productsKnowledge of Customer Identification Programs (CIP)/Know Your Customer (KYC) and relevant regulationsKnowledge of corporate structures and the impact they have on the KYC/AML processProven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detailAptitude for building relationships and ability to communicate complex issues to a wide array of internal stakeholders at all levels of the organization as well as clients with differing levels of product experienceSelf-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing prioritiesFlexible and able to work well in a team environmentStrong verbal and written communication skills in both Japanese & EnglishHaving qualification of JSDA Class 1 Exam/ JSDA Naibu Kanri Sekininsha Exam is preferred

 

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.  

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html 

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