Compliance-Dallas-Associate, Regulatory Compliance–3767924

Goldman Sachs • Dallas, TX

2d • Onsite

About The Position

Associate, Regulatory Compliance with Goldman Sachs & Co. LLC in Dallas, Texas. Multiple Openings. This role is within the Compliance Testing Group (CTG) and involves helping to execute CTG’s mandate to investigate whether activities and practices are in compliance with policies and regulations and the firm’s compliance control infrastructure.

Requirements

• Bachelor’s degree (U.S. or foreign equivalent) Finance, Economics, Accounting, Law, Business Administration or related field and three (3) years of experience in the job offered or in a related role OR Master’s degree (U.S. or foreign equivalent) Finance, Economics, Accounting, Law, Business Administration or related field and two (2) years of experience in the job offered or in a related role.
• Prior experience must include three (3) years of experience with a Bachelor’s degree OR two (2) years of experience with a Master’s degree with general knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, and the Investment Company Act of 1940.
• Basic understanding of the products offered by the Equities, Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks.
• Basic knowledge of products, the Global Markets business and sales practices such as sales and trading, product controllers, compliance, legal, regulatory, audit or risk management functions.
• Ability to conduct interviews with stakeholders including process owners, and supervisors, and leverage analytical skills to identify gaps/deficiencies in key controls and/or employee misconduct that may present compliance or regulatory risk.
• Ability to orally present findings identified during CTG reviews to senior stakeholders in Compliance and the firm’s businesses, including clearly articulating the fact-patterns, risk(s) and potential next steps for remediation.
• Ability to draft written findings that clearly articulate the fact-pattern and associated risks and summarize the expected next steps for remediation.

Responsibilities

• Help execute the Compliance Testing Group’s (“CTG”) mandate to investigate whether activities and practices are in compliance with policies and regulations and the firm’s compliance control infrastructure.
• Propose methods of testing and execute test plans (“reviews”) that have been discussed and agreed with a team manager.
• Gather data, perform analyses, and document results.
• Handle multiple reviews concurrently, including driving the reviews through each phase of the review life cycle such as planning, scoping, testing, socialization of results, tracking finding remediations (if applicable).
• Coordinate and lead frequent interactions with senior members of the firm (including in Compliance, the firm’s businesses and Engineering) to address review follow-ups, socialize findings, and track and review finding remediations.
• Identify potential compliance, conduct and reputational issues such as control gaps/deficiencies and/or employee misconduct that presents compliance and/or regulatory risk and effectively escalate to appropriate individuals.
• Work with CTG’s global team to share findings and refine CTG’s review processes.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees