Compliance, EMEA Regional Country Compliance, Senior Vice President, Frankfurt

Goldman Sachs; Frankfurt; Vor Ort; EUR 80.000 - 120.000; Vollzeit

Zusammenfassung

A leading global investment bank is seeking an experienced compliance professional in Frankfurt to oversee compliance and regulatory matters. Candidates must have significant experience in compliance relating to investment services, be fluent in English and German, and possess strong analytical and communication skills. The role offers opportunities for professional growth in a diverse and inclusive environment.

Leistungen

Diversity and inclusion programs

Training and development opportunities

Wellness and personal finance offerings

Qualifikationen

• ~10 years of Compliance experience relating to investment services.
• Proven ability to navigate in an international environment.
• Detail-oriented with the ability to organize and prioritize.

Aufgaben

• Oversee WpHG Compliance controls and Compliance advisory.
• Manage regulatory change management relating to WpHG.
• Conduct evaluation of the Annual Risk Assessment.

Kenntnisse

Compliance experience relating to investment services

Strong knowledge of EU regulatory environment

Clear communication and drafting skills

Risk Management

Detail-oriented with multitasking ability

Fluency in English and German

Ausbildung

University degree

Jobbeschreibung

Overview

OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s 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 firm’s responses to regulatory examinations, audits and inquiries. You\'ll 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 (. MiFID2, MAR, MaComp
• 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. 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 / careers. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.