Compliance Investigator, Associate/VP, Warsaw
Goldman Sachs
Warsaw, PL
1 d. temu

GLOBAL COMPLIANCE

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

    Compliance Testing Group

    This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm’s Compliance Testing Group to conduct forensic investigations covering the various firm businesses and divisions.

    In performing these investigations, the individual will check employees’ compliance with regulations and the firm’s policies, procedures, and compliance control infrastructure.

    In addition, the individual will also be checking the effectiveness and robustness of the firms control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and other Federation Divisions, including, among others, portfolio managers, private wealth managers, traders, sales employees, investment bankers, research analysts, and technologists.

    The Compliance Testing Group has a global reach and is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, London, Hong Kong, Tokyo, Salt Lake City, Singapore, Bengaluru, and Warsaw.

    The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.

    Responsibilities

  • Propose methods of investigation and execute plans discussed and agreed with a team leader
  • Gather data, perform analyses, and document results
  • Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
  • Multi-task have the ability to work on several different investigations with different individuals across Europe, and Globally, at the same time
  • Leverage strong communication skills to interact with Compliance and business senior management
  • Work with stakeholders to implement action plans to mitigate and address compliance risks
  • Meet tight deadlines
  • Basic Qualifications

  • Bachelor’s Degree
  • Broad knowledge of financial products, markets, and European laws and regulations, in particular FCA and BaFin rules
  • Excellent written English skills, with ability to describe complex issues in a clear and concise manner
  • Excellent interview, presentation, communication, time management, and analytical skills
  • Integrity, motivation, intellectual curiosity, and enthusiasm
  • Knowledge of Microsoft Word and Excel
  • Fluency in English
  • Preferred Qualifications

  • Compliance, auditing, testing, legal, or regulatory / law enforcement experience
  • Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator
  • Fluency in other non-English languages beneficial
  • 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.

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