Legal - Vice President - Regulatory Audit Management for GSBE Divisional Compliance - Frankfurt

Goldman Sachs Group, Inc.; Frankfurt; Vor Ort; EUR 90.000 - 130.000; Vollzeit

Zusammenfassung

A leading financial institution in Frankfurt is seeking a Vice President for Regulatory Audit Management within their compliance team. The role involves managing external audits and ensuring adherence to regulatory standards. Candidates must have at least 6 years of compliance experience, strong knowledge of BaFin audits, and fluency in both German and English. Excellent communication and analytical skills are essential for success in this position.

Qualifikationen

• Minimum of 6 years of Compliance experience in a financial institution.
• Experience with BaFin audits and related frameworks.
• Strong knowledge of the European regulatory environment.

Aufgaben

• Manage and execute external audit engagements.
• Coordinate with Compliance leadership and communicate with regulators.
• Lead external audits and ensure high-quality deliverables.

Kenntnisse

Compliance experience

Fluent in German

Excellent communication skills

Analytical thinking

Knowledge of EU regulations

Ausbildung

University degree

Jobbeschreibung

Legal - Vice President - Regulatory Audit Management for GSBE Divisional Compliance - Frankfurt

Job Description

We are looking for two VP-level candidates to join the Compliance team in Goldman Sachs Bank Europe SE (GSBE), our EU hub.

The roles are based in Frankfurt, reporting to the local Divisional lead and focusing on the management of the GSBE external regulatory audits carried out by BaFin to evaluate the effectiveness of the firm’s internal controls, risk management, and governance.

Responsibilities include proactively managing and executing external audit engagements, collaborating with business stakeholders and other control functions, identifying and reporting control issues, and developing recommendations to strengthen internal controls, prevent and remediate findings as appropriate. The roles will also ensure appropriate integration of GSBE branches into the wider Divisional Compliance programme and control plan.

The roles require analytical skills, a strong understanding of risk and controls, and the ability to work both independently and as part of a global team.

OUR TEAM

At Goldman Sachs, we form a global compliance team that prevents, detects and mitigates compliance, regulatory and reputational risk throughout the firm. The GSBE Compliance team spans London, Paris, Frankfurt, Milan and Warsaw, working collaboratively across EMEA.

KEY RESPONSIBILITIES

• Proactively manage GSBE regulatory audits, engaging with stakeholders across London, Frankfurt, Paris, Milan and Warsaw.
• Coordinate with Divisional Compliance management and GSBE Compliance leadership to ensure transparent communication and regulation engagement.
• Lead external audit engagements from planning to reporting, ensuring timely, high‑quality deliverables.
• Partner with business, risk, compliance and other control groups to identify potential audit findings and provide corrective actions.
• Present audit findings to management, providing overall opinions on the control environment and recommended remediation.
• Develop and implement recommendations to strengthen internal controls and identify improvement opportunities.
• Support the execution of the Compliance programme, including risk assessments and design of appropriate controls.
• Collaborate across compliance, legal, internal audit, technology, operations, and business divisions to resolve compliance matters promptly.
• Assist with interpretation and implementation of new regulations, assessing regulatory risks and impacts.
• Provide responses to regulatory information requests ahead of audits, reviews and questionnaires.

QUALIFICATIONS & SKILLS

• University degree with minimum of 6 years of Compliance experience, preferably in a top‑tier financial institution with sophisticated market making or complex financing units.
• Experience with BaFin audits, Securities Trading Act/WpHG and MaRisk / MaComp frameworks.
• Experience dealing with regulators, regulatory audits and exchange enquiries.
• Pro‑active, self‑motivated and well‑organized.
• Excellent communication skills, capable of influencing senior stakeholders and external regulators.
• Strong understanding of key EU regulations (MiFID, MAR, Benchmarks, EMIR, AIFMD, UCITS, CRD, CSDR, ESG).
• Fluent in German and English (prerequisite).
• Strong knowledge of the European regulatory environment and specifically BaFin rules covered in German WpHG and MaRisk audits, including MiFID 2, MAR, MaComp, MAR, Benchmarks, EMIR, AIFMD, UCITS, CRD.
• Attention to detail, analytical thinking and independent judgment.
• Ability to build strong relationships in an international, cross‑office environment across business, risk and control partners.
• Strong integrity, professionalism and teamwork orientation.

EEO Statement

Goldman Sachs is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity, sexual orientation, age, national origin, disability status, veteran status, or any other protected characteristic in any location of the firm.

We encourage cross‑office collaboration and inclusive decision making across the firm.