Goldman Sachs Group Inc.
Securities Division Compliance, Compliance Officer, Associate/Vice President
MORE ABOUT THIS JOB
This is a role within the European Securities Division Compliance Team to the Compliance representative based in Frankfurt. Primarily covering the Equity and Fixed Income Sales and Trading business personnel based in Frankfurt however will also be required to work closely with other departments, such as Risk, Controllers, Operations, Credit, Internal Audit and Legal as well as colleagues in Securities Division Compliance based in other offices. The role reports to the EMEA Head of Securities Division Compliance based in London.
WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
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 AND QUALIFICATIONS
HOW YOU WILL FULFILL YOUR POTENTIAL
- Provide real-time compliance advice to Frankfurt business personnel of all levels, with regards to the rules, regulation and internal policies that govern the Securities Division business
- Provide advice on a number of regulatory and policy matters including individual transactions, new products and business initiatives
- Assist with the interpretation and implementation of new rules/regulation
- Develop policies, procedures, and compliance updates for each business unit relative to the Securities Division activities in Frankfurt
- Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
- Co-ordinate with the broader Securities Division Compliance Team on EMEA initiatives and projects as a representative for Frankfurt
- Participate in compliance regulatory and internal investigations and audits
- Liaising with local regulators and coordinate responses to ad-hoc regulatory enquiries Ensure that all regulatory reporting requirements are fulfilled
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
- Vice President or Senior Associate level
- Minimum 5 years compliance experience of working with German regulation as it relates to Equity and Fixed Income products
- Degree level or equivalent (not essential if has relevant working experience) preferably with a Legal degree or Finance related
- Experience working in a compliance function for Equity and Fixed Income businesses preferably with the trading floor/advisory
- Pro-active, self-motivated, assertive and well organized
- Ability to work independently and yet remain a strong team player
- Have a positive, hands-on, "can do" attitude
- Forward looking, focused on streamlining processes and increasing efficiency
- Ability to handle multiple tasks simultaneously and work under pressure
- Fluent in German and in English
- Strong communication skills both written and oral
- Proactive approach to problem solving
- Interest in the financial markets and a willingness to learn
- Able to work in an international environment with various regulations (MIFID, UK, CFTC, EMIR…)
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