Compliance, Regional Compliance, Senior Analyst, Warsaw

Job Description

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.

OUR IMPACT

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.

YOUR IMPACT 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 KRIs and KPIs for reporting on Compliance risks and programme effectiveness

QUALIFICATIONS / EXPERIENCE

• 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
• German language skills are preferred

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

Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: Disability Statement

The Goldman Sachs Group, Inc., 2023. All rights reserved.
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.

Locations - Opportunity Overview

• CORPORATE TITLE: Senior Analyst
• OFFICE LOCATION(S): Warsaw
• JOB FUNCTION: Regional Compliance
• DIVISION: Compliance Division

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