Compliance, Regional Compliance, Associate / Vice President, Frankfurt

Goldman Sachs; Frankfurt; Vor Ort; EUR 60.000 - 90.000; Vollzeit

Zusammenfassung

A leading global investment banking firm in Frankfurt seeks a seasoned Compliance professional. The role involves managing compliance audits, reporting, and coordinating key compliance controls while ensuring adherence to German and European regulations. Ideal candidates possess extensive compliance experience and fluency in both English and German.

Leistungen

Diversity and inclusion programs

Professional training and development opportunities

Qualifikationen

• 5+ years' Compliance experience relating to investment services.
• Strong knowledge of the European regulatory environment and BaFin rules.
• Any knowledge of other local regulatory regimes is an advantage.

Aufgaben

• Manage Compliance input for regulatory audits.
• Draft and maintain policies and procedures.
• Monitor implementation of new regulations.

Kenntnisse

Compliance experience

Interpersonal skills

Communication skills

Detail-oriented

Fluency in English

Fluency in German

Ausbildung

University degree

Jobbeschreibung

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.

Responsibilities

• Manage Compliance input for regular and ad-hoc regulatory audits
• Create Management Reporting for the Executive and Supervisory Boards
• Draft and maintain policies and procedures relating to WpHGCompliance requirements
• Manage key Compliance controls in line with BaFin requirements (in particular MaComp, MaRisk)
• Coordinate audit input and related controls (across the branches)
• Monitor for and coordinate the implementation of new regulations
• Support with the annual Risk Assessment

Experience / Skills

• University degree
• 5+ years' Compliance experience relating to investment services.
• Strong knowledge of the European regulatory environment and of BaFin rules covered in the German WpHGaudits is key (. MiFID2, MAR, MaComp
• Any knowledge of other local regulatory regimes (in Europe or globally) is an advantage
• Good interpersonal skills and effective written / oral communication skills.
• 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.

Compliance Compliance • Frankfurt, Hessen, Germany