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