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Compliance, Global Banking & Markets Compliance, Analyst, Paris
junior · Risk & Compliance
OUR IMPACT
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 centres around the world.
The GBM Public Compliance team is part of the Global Compliance department, which 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.
YOUR IMPACT
This is an Analyst level role within the Paris Global Banking and Markets – Public (“GBM Public Compliance”) Compliance Team providing compliance coverage across market-leading Fixed Income, Currencies and Commodities (FICC) and Equities business units.
The role reports into the Paris based Heads of Goldman Sachs Bank Europe (“GSBE”) FICC and Equities Compliance and is part of the Global Banking and Markets – Public Compliance team
KEY RESPONSIBILITIES OF THE ROLE:
Providing real-time compliance advice to the FICC and Equities business units, with regards to European relevant rules, regulations and internal policies that govern the business.
Provide support with the interpretation and implementation of new rules/regulation - assessing regulatory risks, regulatory changes and potential impact to EU FICC/Equities business units.
Provision of pro-active risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives.
Assistance with the interpretation and implementation of new rules/regulation - assessing regulatory risks, regulatory changes and potential impact.
Development and deployment of second line controls and assisting the first line with the development of their controls.
Assist with the review of new algorithms and other electronic related business initiatives initiatives to ensure adherence with EU and German specific requirements.
Assist with the review of policy/conduct violation escalations
Review of marketing materials and new activities committee memos.
Working with Legal, Controllers, Internal Audit, Technology, Operations (Client onboarding) and other areas within Compliance (including the broader Global Banking and Markets – Public team) or the business divisions to ensure prompt and coordinated resolution of compliance matters.
Assist with the coordination of responses to ad-hoc regulatory, exchanges and audit enquiries including utilising firm systems to conduct monitoring and testing activities.
Collaborating with other Compliance areas and the business to produce responses to information requests ahead of regulatory audits/reviews/reports/questionnaires.
Assist with the review and escalation of Suspicious Transactions.
Developing and delivering training sessions on Compliance policies /procedures, including on EU and French regulatory requirements.
Updating Compliance-related Policies and Procedures in accordance with applicable European and French regulations and Group requirements.
SKILLS AND EXPERUENCE WE ARE LOOKING FOR
Analyst level
Degree level or equivalent (not essential if has relevant working experience).
Desirable, but not essential: Compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing/trading capabilities
Professional qualifications such as CISI Diploma, CFA, AMF certification are an advantage.
Strong interest in Financial Markets/Compliance/Regulatory matters
Ability to process large amounts of information on novel topics and identify salient points, and succinctly present them to a senior audience.
Ability to handle multiple tasks simultaneously and work to tight deadlines, balancing short-term and long-term queries and projects, in a trading floor environment which involves multiple, daily live interactions with stakeholders.
Pro-active, self-motivated, assertive and well-organized.
Ability to work independently and yet remain a strong team player.
Ability to handle multiple tasks simultaneously and work to tight deadlines.
Ability to communicate effectively and drive practical outcomes.
Forward-looking, focused on improving and streamlining controls and processes.
An understanding or awaraness of EU Regulations (MiFID II, MAR, Benchmarks, EMIR, CSDR). French Regulations (AMF General Rule Book, French monetary and Financial Code) as well as US regulations (Dodd-Frank Act and other major CFTC and SEC driven regulations).
Ability to enrich and thrive in an international and diverse, inclusive environment.
Analytical mind, inquisitive and detail oriented.
Ability to make sound decisions, including escalation when appropriate, in regard of regulatory risks.
Ability to build strong working relationships with colleagues in all divisions across the region and co-ordinate with the global and regional Compliance team.
Fluent in English (French and/ German langage is an advantage).
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 GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© 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.