Compliance-The Core Compliance, Associate, Dallas

Goldman Sachs•Dallas, TX

10d•Onsite

About The Position

Global Compliance's division prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm, strengthening the firm’s culture of compliance. This is achieved through an enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses 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. The Core Compliance team provides compliance coverage to essential control, infrastructure, and support functions, including Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning and Management, Risk, Tax, Internal Audit, Legal, Human Capital Management, and Operations groups. The team operates at the intersection of financial markets, regulatory integrity, and cutting-edge technology, playing a critical role in protecting the firm, its clients, and the broader financial system by proactively identifying and assessing compliance risks, monitoring for compliance, investigating conduct-related issues, participating in regulatory responses, performing surveillance and investigations, testing controls, and translating complex regulations into actionable guidance.

Requirements

3+ years of relevant experience in compliance, risk management, legal, regulatory affairs, or a related control function within a US broker-dealer or financial institution
Knowledge of operational practices in securities and derivatives markets
Knowledge of regulations, practices, and market infrastructure in the Americas
Knowledge of non-financial regulatory reporting, including: Blue Sheets, Consolidated Audit Trail, Large Option Position Reporting, Short Interest Reporting, and Swap Dealer Reporting
Familiarity of SEC, FINRA, CFTC, and NFA regulations
Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries
Clear, concise written and verbal communication skills; ability to present findings and influence decisions at senior leadership levels.
Ability and willingness to challenge the status quo; comfortable managing interpersonal conflict and building strong rapport with stakeholders while maintaining independence as a risk manager.
Proficient in using technology to analyze large datasets and summarize findings; familiarity with data tools (e.g., SQL, Tableau, Alteryx) is a plus.
A fast learner who can adapt to rapid business and regulatory changes.
Highly organized with the ability to manage long-term projects alongside time-sensitive, daily escalations.
Team-oriented mindset with a strong commitment to collective success.

Nice To Haves

Familiarity with data tools (e.g., SQL, Tableau, Alteryx)

Responsibilities

Advise, challenge, and influence The Core divisions regarding regulations, policies, and reputational risk
Leverage data analytics tools and compliance technology platforms to identify patterns and generate actionable insights
Analyze regulatory changes and enforcement actions to assess the impact on The Core, and support work to ensure the business can meet applicable rules and requirements
Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
Identify, investigate, and manage compliance issues involving The Core functions
Provide support and guidance to The Core functions when dealing with regulators
Present your findings to senior leaders and help shape firm-wide decisions
Conduct forensic reviews to monitor compliance with regulations and firm policies
Contribute to compliance risk assessments to support the effectiveness of the firm’s compliance program
Draft and assist in the implementation of policies and procedures
Develop and deliver communication and training
Investigate and liaise with internal stakeholders in relation to conduct issues
Coordinate with the broader The Core Compliance team on initiatives and projects