Compliance-The Core Compliance, Associate, Dallas

Goldman Sachs•Dallas, TX

10d•Onsite

About The Position

Our division 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. 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. Part of the Global Compliance Division, The Core Compliance is a global team responsible for providing compliance coverage to “The Core” business segments—the firm’s essential control, infrastructure, and support functions. This includes 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 embedded within revenue divisions. At the intersection of financial markets, regulatory integrity, and cutting-edge technology, our Compliance team plays a critical role in protecting the firm, its clients, and the broader financial system. We fulfill this mission by: Proactively identifying and assessing compliance risks Monitoring for compliance with laws, rules, regulations, and policies, including the identification and investigation of conduct-related issues Participating in firm responses to regulatory examinations, audits, and inquiries Performing surveillance and investigations of business activities of the above-referenced divisions Testing the effectiveness of controls Writing policies and procedures Translating complex regulations into clear, 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

Nice To Haves

Proficient in using technology to analyze large datasets and summarize findings
Familiarity with data tools (e.g., SQL, Tableau, Alteryx) is a plus
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.
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.

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