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Compliance Officer, FICC Compliance, Vice President, Paris
Il y a 2 mois
About Us
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.
Our Impact
The France 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.
Key Responsibilities
- Provide regulatory interpretation and advice to the FICC business units, ensuring compliance with the firm-wide Compliance framework.
- Support regulatory audits and reviews, and interact with local regulators as needed.
- Provide real-time compliance counsel to the FICC business units, with regards to relevant rules, regulations and internal policies that govern the business.
- Adhere to the Global Compliance Framework, including risk assessments and designing/implementing appropriate controls.
- Provide proactive risk mitigation instructions on regulatory and policy matters, including individual transactions, new products and business initiatives.
- Assist with the interpretation and implementation of new rules/regulations, assessing regulatory risks, regulatory changes and potential impact.
- Develop and deploy second-line controls, and assist the first line with the development of their controls.
- Review new algorithms and other electronic-related business initiatives.
- Review marketing materials and committee memos.
- Collaborate with Legal, Controllers, Internal Audit, Technology, Operations (Client onboarding) and other areas within Compliance to ensure prompt and coordinated resolution of compliance matters.
- Participate in Compliance, regulatory and internal investigations and audits, including utilizing firm systems to conduct forensic reviews.
- Liaise with local regulators and Exchange/venue operators, and coordinate responses to ad-hoc regulatory enquiries.
- Collaborate with other Compliance areas and the business to produce responses to information requests ahead of regulatory audits/reviews/reports/questionnaires.
- Evaluate and escalate Suspicious Transaction – Activity Reports to the relevant authorities in France or, where required by the rules, in other jurisdictions.
- Develop and deliver training sessions on Compliance matters, and in particular on EU and French requirements.
- Draft and update Compliance-related Policies and Procedures in accordance with applicable regulation and Group requirements.
Essential Skills
- Minimum of 5 years of compliance experience, ideally gained by working for a top-tier house or others with sophisticated market making/hedging business units and/or complex financing capabilities.
- Degree level or equivalent (not essential if has relevant working experience).
- Fluent in French and in English.
- Professional qualifications such as CISI Diploma, CFA, AMF certification is an advantage.
- Excellent practical understanding of FICC asset classes.
- 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.
- Excellent communication skills both written and oral.
- Ability to communicate effectively and drive practical outcomes.
- Proactive approach to problem-solving.
- Deep interest in compliance/financial markets and a willingness to continually learn.
- Excellent understanding of ACPR/AMF and European regulations and willingness to keep abreast of business and regulatory changes.
- Excellent understanding of EU and US regulations (MiFID II, MAR, Benchmarks, EMIR, CSDR, 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.
- Good understanding of risk analysis processes.
- 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 coordinate with the global and regional Compliance team.
