Compliance, EMEA Regional Country Compliance, Senior Vice President, Frankfurt
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Posted on:
Yesterday
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1 Vacancy
Job Summary
Description
OUR IMPACT
Our division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense Compliance assesses the firms compliance regulatory and reputational risk; monitors for compliance with new or amended laws rules and regulations; designs and implements controls policies procedures and training; conducts independent testing; investigates surveils and monitors for compliance risks and breaches; and leads the firms responses to regulatory examinations audits and inquiries. Youll be part of a team with members from a wide range of academic and professional backgrounds such as law accounting sales and trading. We look for those who possess sound judgment curiosity and are able to adapt to a changing regulatory landscape.
YOUR IMPACT
This role reports directly to the Chief Compliance Officer of Goldman Sachs Bank Europe SE with responsibility for the delivery of and execution on all components of the WpHG/MaComp Compliance program. This includes in particular:
- Oversight of WpHG Compliance controls incl. the Compliance control plan
- Compliance advisory on WpHG matters for the entities German and European operations
- The Compliance functions input for regular and ad-hoc WpHG audits
- Regulatory Change Management for WpHG related requirements
- The ad-hoc and regular Compliance reporting to the Executive and Supervisory Board incl. the Annual Compliance Report
- Evaluation of the Annual Risk Assessment
- Ensure appropriate integration of branches into the Compliance program and control plan
Experience/Skills:
- University degree
- 10 years Compliance experience relating to investment services.
- Strong knowledge of the European regulatory environment and specifically the BaFin rules covered in the German WpHG audit (e.g. MiFID2 MAR MaComp etc.)
- 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
- 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
- Fluency in English and German is a prerequisite
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. Were 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
Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
The Goldman Sachs Group Inc. 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race color religion sex national origin age veterans status disability or any other characteristic protected by applicable law.
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About Company
The Goldman Sachs Group, Inc. is a leading global investment banking, securities, and asset and wealth management firm that provides a wide range of financial services.
