Compliance-Warsaw-Associate-Regional Compliance

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 We Offer Best-In-Class Benefits 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. Holiday & Vacation Policies 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.

Opportunity Overview CORPORATE TITLEAssociate OFFICE LOCATION(S)Warsaw JOB FUNCTIONRegional Compliance DIVISIONCompliance Division