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Nu Advisory Partners

Compliance, Financial Crime Compliance, AML Analyst/Associate - Frankfurt

Goldman Sachs

Goldman Sachs

IT, Accounting & Finance, Legal
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.

Financial Crime Compliance (FCC) has primary responsibility for the execution of the firm’s enterprise-wide Anti-Money Laundering (AML), anti-bribery, and government sanctions compliance programs and, among other things, performs enhanced due diligence and government sanctions screening, as well as surveillance and investigations designed to identify potential terrorist financing, money laundering, bribery, market abuse, or other suspicious activity.


FCC’s team covering Europe, the Middle East and Africa (EMEA), which is based in London and Warsaw, is seeking a professional with relevant skills and experience to work in the FCC EMEA investigations team in London. The candidate will carry out complex investigations to review all escalations received which may or may not require a report to a regulator/s. The various escalation sources include, however are not limited to, the business, regulatory enquiries, trade and transaction surveillance and ad-hoc requests.

The individual will be expected to be able to identify and fully document in accordance with Goldman Sachs’ written policies and procedures all forms of market abuse (insider trading and market manipulation), suspicious asset movements, fraud and employee matters.

Additional responsibilities may include management information reporting, enhancing policies and procedures, perform certain regulatory filings, including STORs and SARs with regulators, training and working with internal audit when they conduct their reviews.

To achieve this, the relevant candidate will be required to:

  • utilize a variety of internal and external systems and databases in order to complete investigations;
  • liaise with all other departments, when needed and if it is appropriate, in order to ensure a thorough investigation is completed;
  • present a summary and proposed conclusion to management in a timely and clear manner, including proposals to implement appropriate steps to monitor if necessary; and
  • report suspicious activities to regulators.


  • Fluent German speaking
  • 1+ year experience in financial services, preferably with either a trading, compliance, trade surveillance, or regulatory background.
  • knowledge of market abuse regulation, money laundering typologies, securities trading, anti-bribery and corruption legislation and regulation.
  • Good knowledge of financial markets and products, preferably fixed income products.
  • Excellent written and verbal communication skills, including presentation skills.
  • Proactive, self-motivated, assertive and well organized.
  • Takes ownership of tasks, progresses them independently, and escalates to senior stakeholders when required.
  • Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgment.
  • Ability to learn and navigate technical firm systems used for reviews, and educate other team members on functionality.
  • Ability to handle multiple tasks simultaneously and work to tight deadlines, balancing short-term and long-term queries and projects.
  • Ability to build relationships with stakeholders of various seniority and across different roles.
  • Ability to work independently and yet remain a strong team player.
  • Languages an advantage
  • Ability to enrich and thrive in an international, diverse and inclusive environment.
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
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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity