Anna Executive Director/Vice President, Private Wealth Management Compliance Global Compliance division, Hong Kong

After joining the firm, I noticed that all of my colleagues have diverse backgrounds and different strengths. I believe this is how we provide unique solutions that stimulate thinking and knowledge sharing.

My Work

To ensure that the business conducted in Private Wealth Management (PWM) meets internal and external compliance requirements, I perform daily surveillance by reviewing different reports. I also support PWM sales teams on compliance issues. Also, I am responsible for the communication and implementation of compliance policies and procedures in PWM.

While providing compliance support and opinions to PWM professionals, our team also does our best to facilitate the business. Occasionally, our internal clients will ask us to provide them with advice on various regulatory and internal requirement issues as soon as possible. These tasks make my job both interesting and challenging since we have to be very familiar with the latest regulatory requirements and firm-wide policy updates in order to provide efficient and professional compliance support.

My Day

My day consists of a variety of responsibilities. On one hand, we have to satisfy the regulatory requirements and firm-wide policies. On the other hand, it is our job to see that the business conducted in PWM runs smoothly. I believe this balancing exercise is the most challenging part of my job. Compliance officers have to rely on their experience to make decisions with great precision. Furthermore, we need to provide solutions in a timely manner since most issues we encounter are very time-sensitive. However, I must say it is very satisfying to receive feedback from PWM professionals and other colleagues about how my work helps them conduct their business, which ultimately benefits them, their clients and the firm.

Though each of us is responsible for different tasks, we always work closely as a team. We update each other about any issues we encounter and share things in a collaborative manner. We also hold team meetings every day to update each other and discuss ways to improve control policies and procedures.

I am currently working on a global project which involves compliance officers from different offices. I learn a lot from their experience and innovation by exchanging ideas with them. It is a golden opportunity for me to be put into a large group of professionals and accomplish tasks that are very challenging.

My Path

When I graduated from college I joined Goldman Sachs on a part-time basis. I also received an attractive offer to work as a project analyst at another international firm but I’m glad that I ended up accepting the offer from Goldman Sachs. I definitely feel like I made the right choice.

My first impression when I started working here was that the people at Goldman Sachs are really energetic, self motivated, helpful and target-oriented. They encourage input and suggestions from all different levels. There is a very unique culture which ensures that the firm benefits from each individual’s contribution.

Also, opportunities are always readily available at the firm. It all depends on how proactive you are in taking chances to improve yourself. In my previous position, I got the chance to learn all about the daily operations in PWM. That experience enhanced my knowledge of compliance control and operations which is extremely useful in my current position.

Myself

My major was Industrial Engineering so it came as a bit of a surprise to me when I ended up launching my career at Goldman Sachs. After joining the firm, I noticed that all of my colleagues have diverse backgrounds and different strengths. I believe this is how we provide unique solutions that stimulate thinking and knowledge sharing.

My advice to those considering a career in finance is to figure out what you are really interested in - it is difficult to succeed at something that you don’t enjoy. Most of my colleagues love what they are doing, and so do I. That is the most powerful motivation for us to work hard and achieve a strong performance.

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