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Compliance, Equities And Ficc Compliance, Associate, Milan

3 mesi fa

Milano, Lombardia, Italia Goldman Sachs Group, Inc. A tempo pieno
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 Global Banking and Markets – Public Compliance team is part of Global Compliance, whichmanages the firm's compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations.

The division monitors trends and changes in regulations in all jurisdictions in which the firm does business and develops and implements firmwide and divisional policies and procedures.

In addition to advising the firm's businesses, Global Compliance is responsible for managing audits and inquiries, Compliance learning, surveillance and testing the firm's risk management infrastructure.

The GBM-Public Compliance team in EMEA is located mainly in London, with presence in Paris, Frankfurt and Milan.

Fostering cooperative and positive relationship within the Compliance teams and all the other functions in the various offices is paramount for the role, as Goldman Sachs Bank Europe SE continues to expand its activities in continental Europe and beyond.

YOUR IMPACT This role is responsible for assisting with the coordination of regulatory audits, deep dives and exams for the GSBE GBM-Public businesses and provide support to the other team members covering GBM-Public businesses in Paris and Frankfurt.

The role will closely interact with the GBM-Public and GSBE Compliance management and with the Head of Italy Compliance to ensure transparent communications and effectively managed interactions with local regulators and exchanges.


Key responsibilities of the role:

Daily management of audit requests and regulatory inquiries either directly or through other team members, to ensure the requests are well understood and actioned timelyOngoing development of specialist knowledge in relation to regulatory audit standards, to actively prevent and manage potential regulatory findings and ensure appropriate escalation where required Ad hoc real-time compliance advice to the GBM-Public business units, with regards to relevant rules, regulations and internal policies that govern the businessParticipation in Compliance, regulatory, internal investigations and audits as required (including maintenance of the relevant logs)Review of regulatory change alerts and log in the relevant systems as requiredExecution of programmatic reviews and internal investigative/forensic reviewsSupport in producing periodic reports/presentations to local regulators/exchangeClose collaboration with other functions as required to ensure the prompt resolution of complex matters.

REQUIREMENTS University degree level or equivalent / relevant working experienceFluent in English; fluency in another European language (in particular Italian, French or German) is an assetPro-active, self-motivated, assertive and well organizedExcellent communication skillsWorking knowledge of local regulatory expectations (ECB, ACPR, AMF, CONSOB, Banca d'Italia, BaFin) is an advantage Proactive approach to problem solving 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
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process

Learn more:
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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