Compliance

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.

Job Summary & Responsibilities

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm.  From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities.  Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups.  This supports the Wealth Management Business. 

Wealth Management Compliance is seeking an Associate to join our team and be based out of the Dallas.  As part of this team, the primary responsibilities will include:

• Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
• Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
• Interacting with the PWM business, Divisional Compliance, Legal and Operations teams on a daily basis
• Reviewing marketing materials that are used to pitch Wealth Management products and services to clients
• Advising Wealth Management teams on regulations, policies and client issues
• Participating in US PWM and Global Compliance projects and initiatives

Basic Qualifications: 

• Bachelor’s degree required 
• Three to five years of relevant experience 

Skills and Characteristics:

• Have experience with legal, regulatory and compliance issues in the financial industry
• Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
• Work well under pressure and has a positive, hands-on, “can do” attitude 
• Be able to devise and implement creative and innovative solutions
• Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
• Be a quick learner and self-starter, with the ability to work effectively with minimal supervision 
• Have the ability to multi-task and adapt to new situations and a dynamic work environment 
• Hold the Series 7, 9 and 10 or be willing and/or able to pass exams in a reasonable period of time