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Nu Advisory Partners

Compliance, Regulatory Affairs Compliance, Associate, Frankfurt

Goldman Sachs

Goldman Sachs

Frankfurt, Germany
Posted on Thursday, June 6, 2024

Job Description

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.


The role we are recruiting for is in the Regulatory Affairs team of the Compliance function based in Frankfurt 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:

Key Responsibilities:

  • Maintain and draft entity level policies and procedures for the Compliance function
  • Facilitate cross-divisional and cross-regional alignment for policy creation
  • Conduct key Compliance controls on entity policies
  • Help draft & conduct Compliance trainings
  • Coordinate on the governance documentation of GSBE
  • Support Project management and Board reporting acc. to MaComp and MaRisk
  • Support the entity Risk Assessment


  • University degree – first professional compliance/ financial services experience desirable
  • 3+ years' Compliance or other relevant financial services experience
  • Good knowledge of the European regulatory environment for the Compliance function (e.g. ESMA GL, EBA GL, MaComp, MaRisk, MaDepot etc.)
  • Experience of working with MaComp
  • Good interpersonal skills and effective written/oral communication skills
  • Excellent organisational skills
  • Attention to detail
  • Fluent in English and German.
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