Compliance, Regional Country Compliance, Analyst / Associate, Frankfurt
Goldman SachsOUR IMPACT
Our division is dedicated to preventing, detecting, and mitigating compliance, regulatory, and reputational risks throughout the firm. These objectives are achieved through the implementation of an enterprise-wide compliance risk management programme. As an independent control function within the firm and operating as part of the second line of defence, Compliance is responsible for assessing the firm’s exposure to compliance, regulatory, and reputational risks.
The division actively monitors adherence to new and amended laws, rules, and regulations. The division’s key responsibilities include designing and implementing effective controls, policies, procedures, and training programmes to promote compliance. It also conducts independent testing to ensure standards are met, investigates and monitors for potential risks or breaches, and leads the firm’s responses to regulatory examinations, audits, and inquiries. The team comprises individuals from a variety of academic and professional backgrounds, including law, accounting, sales, and trading. We value team members who demonstrate sound judgement, intellectual curiosity, and adaptability in response to an ever-evolving regulatory landscape.
YOUR IMPACT
We are looking for an Analyst/ Associate-level candidate to join the Compliance team in Goldman Sachs Bank Europe SE (GSBE), our EU hub.
The role is based in Frankfurt and as part of the Regional Country Compliance team, you will provide compliance support and coverage for the Irish operations of GSBE, with focus on its consumer deposits business and regulatory interactions. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. Additionally, the position is closely aligned with German Securities Trading Act (WpHG) requirements, ensuring compliance frameworks and procedures meet both local and group standards
ROLE AND RESPONSIBILITIES
To fulfil this role you will need to:
- Have consumer regulatory experience with a solid understanding of key areas such as new business initiatives, customer servicing and communications, and changes to existing product and service offerings
- Demonstrate a deep understanding of the Securities Trading Act (WpHG), particularly regarding conduct of business rules and organizational requirements
- Support ad-hoc and regular Compliance reporting to the Executive and Supervisory Board
- Contribute to the annual Compliance Risk Assessment, specifically identifying risks related to STA and MaComp requirements
- Ensure appropriate integration of applicable rules into the Compliance program and control plan
- Ensure adherence to EU regulations, including implementation of new regulations and regulatory change management (e.g. MiFID II/MiFIR updates as reflected in the WpHG)
- Liaise with other Compliance Officers in the Goldman Sachs Compliance Division globally as well as other stakeholders throughout the firm to ensure adherence to firmwide compliance standards
QUALIFICATIONS AND SKILLS
A strong candidate for this role will satisfy the following criteria:
- University degree
- 2-4 years' Compliance experience relating to investment services, with proven experience and knowledge of the Securities Trading Act (WpHG)
- Enhanced knowledge of the different regulatory requirements during the lifecycle of consumer products (e.g. products and service design through implementation, ongoing consumer support and marketing)
- Familiarity with MaComp (Minimum Requirements for the Compliance Function) and its application within a German-headquartered credit institution
- Proven ability to navigate in an international environment
- Any knowledge of other local regulatory regimes (in Europe or globally) is an advantage
- Clear, concise communication and drafting skills; able to communicate with impact at senior levels and with external regulators
- Experience in interacting with regulators, or supporting regulatory audits or inquiries
- Risk Management: the ability to identify, understand and articulate risks associated with regulatory reporting and working with multiple stakeholders to assist in the mitigation/escalation of those risks
- Team-oriented and supportive of others’ success; comfortable representing a teamwork product to stakeholders
- Detail-oriented with ability to multitask, organize and prioritize
- Familiarity with legal entity governance
- Well organised with the ability to manage both longer term projects and daily, often time-sensitive, escalations
- Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgement
- Take ownership of tasks, progress them independently, and escalate to senior stakeholders when required
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.
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