Compliance, EMEA Regional Country Compliance, Senior Vice President, Frankfurt Frankfurt · Germ[...]

Opportunity Overview sitemap_outline CORPORATE TITLE Senior Vice President language OFFICE LOCATION(S) Frankfurt assignment JOB FUNCTION Regional Compliance account_balance DIVISION Compliance Division

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 (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. 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 GS.com/careers.

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.

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.

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