Compliance, FICC Compliance, Vice President, Paris
il y a 3 semaines
WHO WE ARE
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.
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.
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.
Within the France Compliance team, this role is responsible for providing regulatory interpretation and advice, policies and training on regulatory matters to the Paris-based FICC business within Global Banking and Markets – Public. The individual holding this role will perform the following functions:
Global Markets and Banking - Public Compliance coverage: (i) regulatory advice to the business in line with the firm-wide Compliance framework; (ii) specialist support during regulatory audits and reviews; (iii) when required, direct interactions with the local regulators.Key responsibilities of the role:
Providing real-time compliance counsel to the FICC business units, with regards to relevant rules, regulations and internal policies that govern the business. Adhering to the Global Compliance Framework, including with respect to risk assessments and designing/implementing appropriate controls. Provision of pro-active risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives. Assistance with the interpretation and implementation of new rules/regulation - assessing regulatory risks, regulatory changes and potential impact. Development and deployment of second line controls and assisting the first line with the development of their controls. Review of new algorithms and other electronic related business initiatives. Review of marketing materials and committee memos. Working with Legal, Controllers, Internal Audit, Technology, Operations (Client onboarding) and other areas within Compliance (including the broader Global Banking and Markets – Public team) or the business divisions to ensure prompt and coordinated resolution of compliance matters. Participation in Compliance, regulatory and internal investigations and audits, including utilising firm systems to conduct forensic reviews. Liaising with local regulators and Exchange/venue operators and coordination of responses to ad-hoc regulatory enquiries. Collaborating with other Compliance areas and the business to produce responses to information requests ahead of regulatory audits/reviews/reports/questionnaires. Escalating Suspicious Transaction – Activity Reports to the relevant authorities in France or, where required by the rules, in other jurisdictions Developing and delivering training sessions on Compliance matters, and in particular on EU and French requirements. Drafting and updating 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 co-ordinate with the global and regional Compliance team.-
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