Job description

Requirements

  • Entry level
  • No Education
  • Salary to negotiate
  • Warsaw

Description

MORE ABOUT THIS JOB
GLOBAL COMPLIANCE


 


The mandate of Global Compliance is to prevent, detect, and mitigate compliance, regulatory, and reputational risk across the firm and help to strengthen the firm’s culture of compliance. Compliance accomplishes this mandate through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defence, 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. Compliance provides advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations, and regulatory expectations around the globe. Importantly, Compliance plays a key role in reviewing and effectively challenging transactions presenting compliance or reputational risks.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.  


 


Marketing Materials Compliance (“MMC”) within Securities Division Compliance reviews trade ideas, detailed market analysis, summaries of Investment Research, educational materials, and other written materials regarding financial products (e.g., equities, fixed income, currencies, commodities). MMC works closely with other departments, such as wider Divisional Compliance, ECommunications Compliance, Information Technology, Legal, and Internal Audit. MMC performs compliance oversight within a fast-paced environment where teamwork and collaboration are highly valued. Our focus is on practical implementation of laws/regulations.


RESPONSIBILITIES AND QUALIFICATIONS
HOW YOU WILL FULFILL YOUR POTENTIAL


- Review written materials for potential conflicts of interest, compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and data licensing issues, and other regulatory or reputational risks to the firm. (70% of daily tasks)

- Undertake surveillance of compliance with various written communications policies

- Work with Divisional Compliance and Legal to analyze rule changes and provide input on updating policies regarding written communications

- Liaise with Technology on system changes and enhancements

- Analyze surveillance results and data to produce management reports

- Create, update, and deliver training regarding applicable laws, regulations, policies and procedures, and methods and best practices for reviewing communications

- Identify potential targets for investigation and conduct associated surveillance

- Draft and maintain disclosures and risk factors to be used in marketing materials

- Participate in regulatory and internal investigations and audits


SKILLS AND EXPERIENCE WE ARE LOOKING FOR


 


BASIC QUALIFICATIONS


- Bachelor’s degree: Advanced degree or experience in securities industry a plus

- Reading/writing language proficiency skills for reviewing and commenting on marketing materials prepared in English

- Good drafting ability: Drafting will be primarily focused on providing comments on written material and drafting short policy/guideline documents and trainings – clarity and brevity is essential

- Must be a proactive team player with a strong sense of urgency and ability to get along with others

- Must be comfortable working with colleagues in different geographic regions and time zones

- Must work well under pressure

- Excellent multi-tasking abilities required

- Ability to implement solutions is critical

- Strong interpersonal, communication (live, phone, email), and analytical skills

- Must be comfortable addressing problems where there is no clear cut answer and making decisions based on incomplete information

- Should be detail oriented

- Must be comfortable issue-spotting


PREFERRED QUALIFICATIONS


- One or more of the following languages is preferred: German, Chinese (Mandarin), Spanish, or French


ABOUT GOLDMAN SACHS
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 centers around the world.© The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority

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