Compliance-Warsaw-Associate-Regional Compliance

Goldman Sachs Group, Inc.; Warszawa; On-site; PLN 120,000 - 190,000; Full time

Job summary

Goldman Sachs Bank Europe SE in Warsaw seeks a Regulatory Affairs professional to support the Compliance function for GSBE and its European branches. The role covers MaComp/MaRisk controls, regulatory engagement, and governance reporting, working with the RCC Compliance programme across locations.

The candidate should have a university degree with knowledge of European regulatory frameworks, strong analytical and communication skills, and fluency in English to interact with stakeholders and

Qualifications

• University degree – first professional compliance/ financial services experience desirable.
• Basic knowledge of the European regulatory environment for the Compliance function (e.g. ESMA GL, EBA GL, MaComp, MaRisk).
• Good interpersonal and effective written/oral communication skills.
• Strong analytical and problem solving skills with sound judgment.
• Excellent organisational skills.
• Attention to detail.
• Fluent in English.

Responsibilities

• Conduct key Compliance controls in line with BaFin requirements (MaComp, MaRisk) and other regulatory frameworks.
• Participate in firmwide working groups and implement global standards to uplift the RCC Compliance programme.
• Assist in identification and performance of new controls to mitigate Compliance risks.
• Assist in efficiencies in the RCC Compliance Programme, harmonising controls across offices.
• Maintain relationships with RCC team members and other Compliance stakeholders to ensure consistent standards.
• Support Annual Compliance Risk Assessment and Annual Compliance report.
• Notifications to regulator(s) and facilitation of regulatory inquiries.
• Support regulatory exams and audits.
• Support governance reporting and Board reporting, develop KRIs/KPIs for reporting on Compliance risks.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Organisational skills

Attention to detail

English fluency

Education

University degree

Job description

RESPONSIBILITIES AND QUALIFICATIONS:

The role we are recruiting for is in the Regulatory Affairs team of the Compliance function based in Warsaw providing coverage for Goldman Sachs Bank Europe SE (GSBE) and its European branches. This role will support the Chief Compliance Officer in maintaining the Compliance program for the activity of GSBE and support with the core Compliance function tasks as required by MaComp and MaRisk. This covers a broad spectrum of responsibilities which comprise but are not limited to the below:

Responsibilities:

Controls

• Conduct key Compliance controls in line with BaFin requirements (in particular MaComp, MaRisk) and other selective regulatory frameworks e.g. Italy Law 231 / Spain Corporate Defence Programme
• Participate in firmwide working groups / implement new global standards (e.g. Monitoring and Testing, Issue management, policies and procedures) to uplift the RCC Compliance programme
• Assist in the identification and performance of new controls to mitigate Compliance risks
• Assist in the identification and implementation of efficiencies in the RCC Compliance Programme including streamlining and harmonising controls across multiple offices, and extending the scope of controls to cover offices with no physical compliance presence
• Maintain close working relationships and collaboration with RCC team members and other Compliance stakeholders across locations, to:
  • promote consistent standards of interpretation, application, reporting/ escalation and documentation; and
  • prevent gaps, duplications or information loss across the compliance programme and teams
• Support with the Annual Compliance Risk Assessment and Annual Compliance report

Regulatory & Stakeholder Engagement

• Notifications to the regulator(s)
• Facilitate regulatory inquiries
• Support the team in regulatory exams and audits

MI and Management reporting

• Support regular and ad hoc reporting to governance forums
• Coordinate on the governance documentation of GSBE
• Support Project management and Board reporting
• Assist in the development of additional / enhanced KRI’s and KPI’s for reporting on Compliance risks and programme effectiveness

Experience/Skills

• University degree – first professional compliance/ financial services experience desirable
• Basic knowledge of the European regulatory environment for the Compliance function (e.g. ESMA GL, EBA GL, MaComp, MaRisk etc.)
• Good interpersonal skills and effective written/oral communication skills.
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
• Excellent organisational skills
• Attention to detail
• Fluent in English