Compliance, ECO Risk Management, Vice President, Dallas

Goldman Sachs•Dallas, TX

About The Position

Global Compliance 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. Enterprise Compliance Office – Risk Management is a team within Global Compliance responsible for implementing and maintaining the firm's integrated regulatory compliance program, including risk assessments, regulatory change management, policies, and training. This team is at the forefront of aligning our firm’s compliance program with applicable laws, rules, regulations and evolving regulatory expectations. We are looking for a legal or regulatory practitioner to drive our mission forward by applying legal analysis, regulatory subject matter expertise and sound judgment to the design, execution and governance of firmwide regulatory inventory and compliance risk management processes. The role requires excellent communication skills, close collaboration across Compliance, Legal, Risk, Engineering and business stakeholders, and the ability to translate complex regulatory requirements into clear, actionable program requirements for senior audiences.

Requirements

5+ years of experience in financial services, legal, regulatory, compliance, risk management or a comparable control function
Bachelor’s degree required; JD, LLM or equivalent legal/regulatory qualification strongly preferred
Demonstrated experience reviewing, interpreting and applying laws, rules, regulations, regulatory guidance or supervisory expectations in a financial services environment
Strong understanding of compliance risk management program mandates, regulatory inventory, regulatory change, policy governance, controls and/or obligations management
Ability to distill complex legal and regulatory requirements into concise, practical and actionable summaries for business, Compliance and senior management audiences
Excellent analytical, problem-solving, critical-thinking and written communication skills, with strong attention to detail and a proven track record of execution against deadlines
Sound judgment and professional maturity, including the ability to identify issues, escalate appropriately and provide credible challenge in a collaborative environment
Exceptional communication and relationship-building skills, including frequent interaction with Legal, Compliance, Risk, business and senior stakeholders
Ability to manage multiple time-sensitive priorities, operate independently and demonstrate resiliency and creativity under pressure
MS Office proficiency; advanced knowledge of PowerPoint and Excel preferred
Comfort using AI tooling and data-enabled approaches to support legal, regulatory and analytical reviews

Responsibilities

Support the design, implementation and ongoing management of a strategic, sustainable firmwide regulatory inventory process for in-scope laws, rules and regulations (“LRRs”)
Apply legal and regulatory judgment to assess LRR scope, applicability, issuing authority, enforceability and materiality in accordance with program standards
Review, draft and challenge plain-language LRR and obligation summaries to promote accurate, consistent and actionable understanding of regulatory requirements
Support regulatory inventory governance routines across Compliance and the firm, including preparation of senior-level materials, decision papers and escalation content
Manage inventory content, including scope, regulatory source data, citations, summaries, attributes and connectivity with firmwide systems, policies, controls and risk taxonomies
Partner with Legal, Compliance, Risk and business stakeholders to interpret regulatory requirements and assess implications for the firm’s products, services, jurisdictions, regulated activities and control environment
Align the regulatory inventory process with the broader regulations management strategy, including regulatory change management, traceability, policy mapping and compliance risk assessment objectives
Identify opportunities to enhance legal and regulatory analysis through improved process design, data quality, automation, AI tooling and sustainable governance controls
Support responses to regulatory examinations, inquiries, internal audit reviews and other oversight activities by developing clear, well-supported explanations of program design, standards and execution