The Goldman Sachs Group, Inc

Compliance, Asset Management ("AM") Compliance, Associate, Dallas

The Goldman Sachs Group, Inc • $95K — $115K *
Dallas, TX 75217In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree required; JD or MBA a plus.
  • 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience.
  • Experience in advertising or marketing compliance within asset management or regulated financial services preferred.
  • Working knowledge of regulatory frameworks for investment advisers and marketing of investment products preferred.
  • Excellent written and oral communication skills with strong attention to detail.
  • Strong project-management and relationship-building skills for effective collaboration.
  • Ability to analyze complex regulatory requirements and develop practical solutions.

Responsibilities

  • Provide compliance oversight and guidance to AM Marketing personnel on marketing materials.
  • Review and advise on marketing content for AM products and services.
  • Stay current on laws and regulations affecting investment adviser advertising and marketing.
  • Advise on new marketing channels and develop compliance controls.
  • Draft and maintain compliance policies and procedures for marketing activities.
  • Create and deliver compliance training for stakeholders.
  • Perform compliance monitoring and testing to assess marketing compliance risks.
  • Coordinate with stakeholders on regulatory developments and compliance issues.

Benefits

  • Collaborative work environment with cross-functional teams.
  • Opportunity to engage with diverse clients and complex challenges.
  • Access to ongoing professional development and training.
  • Involvement in high-impact compliance initiatives within a leading firm.
Full Job Description
Job Description

Global Compliance

This position sits in the divisional compliance team that covers the Asset Management ("AM") business within Goldman Sachs' Asset & Wealth Management ("AWM"). Asset Management delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM's clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients - individuals, financial advisors, and institutions - who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.

RESPONSIBILITIES AND QUALIFICATIONS

Asset Management ("AM") Compliance is seeking a compliance Associate to join the US AM Sales and Marketing Compliance team in Dallas. The role will provide day-to-day compliance advice and oversight relating to the development, review and use of marketing materials and communications for AM products, services and investment capabilities, including applicable regulatory requirements and reputational risk considerations. The individual will partner with AM's Marketing teams and work closely with regional Compliance, Legal, Operations, Engineering, Internal Audit and other control functions. This is a highly collaborative role that requires sound judgment, strong writing and communication skills, and the ability to translate regulatory requirements into practical guidance. The ideal candidate will have a strong interest in regulatory compliance and in understanding AM's business model, products, marketing channels and content-development processes.

Principal Responsibilities:
  • Provide compliance oversight and practical guidance to AM Marketing personnel regarding the development, review, approval and use of marketing materials and communications.
  • Review and advise on marketing materials and other content used to describe or promote AM products, services and investment capabilities.
  • Analyze and stay current on laws, rules, regulations and regulatory expectations applicable to investment adviser advertising, fund marketing and related communications in the United States and abroad.
  • Advise on new marketing channels, campaigns, content formats and other business initiatives, including the development of practical compliance controls and escalation processes.
  • Develop, draft and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, applicable regulations and best practices for marketing activities.
  • Create and deliver compliance training for relevant stakeholders.
  • Perform compliance monitoring and testing, including reviews of surveillances and targeted or forensic reviews, to assess marketing compliance risks and identify potential breaches or control enhancements.
  • Coordinate with business and control-function stakeholders to address regulatory developments, compliance issues and remediation activities relating to marketing.
  • Assist with regulatory examinations, audits and inquiries, including gathering information, preparing responses and tracking follow-up items.

Qualifications:
  • Bachelor's degree required; JD or MBA a plus.
  • 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience.
  • Experience advising on advertising or marketing compliance matters within asset management or another regulated financial services business preferred.
  • Working knowledge of the regulatory framework applicable to investment advisers, registered investment companies, broker-dealers and the marketing of investment products preferred.
  • Excellent written and oral communication skills, sound judgment, strong organizational skills and attention to detail.
  • Strong project-management and relationship-building skills, with the ability to collaborate effectively across business, regional and control-function teams.
  • Ability to analyze complex regulatory requirements, communicate them clearly and develop practical, risk-based solutions.
  • Ability to manage multiple priorities and work effectively in a fast-paced environment.

About The Goldman Sachs Group, Inc

The Goldman Sachs Group, Inc. provides investment banking, securities, and investment management services, as well as financial services to corporations, financial institutions, governments, and high-net-worth individuals worldwide. Its Investment Banking segment offers financial advisory services, including advisory assignments concerning mergers and acquisitions, divestitures, corporate defense, risk management, and restructurings and spin-offs; and underwriting services comprising public offerings and private placements of a range of securities, loans, and other financial instruments, and derivative transactions. The company’s Institutional Client Services segment provides client execution services, such as fixed income, currency, and commodities client execution related to making markets in interest rate products, credit products, mortgages, currencies, and commodities; and equities related to making markets in equity products, as well as executes and clears institutional client transactions on stock, options, and futures exchanges. This segment also engages in the securities services business providing financing, securities lending, and other brokerage services to institutional clients, including hedge funds, mutual funds, pension funds, and foundations. Its Investing and Lending segment originates longer-term loans; and invests in debt securities, loans, public and private equity securities, real estate, consolidated investment entities, distressed assets, currencies, commodities, and power generation facilities. The company’s investment management segment provides investment products and services, as well as offers wealth advisory services, including portfolio management and financial counseling, and brokerage and other transaction services.

The Goldman Sachs Group, Inc. Careers

Join the prestigious team at The Goldman Sachs Group, Inc., a global leader in finance and investments, and propel your career to new heights. Our firm is renowned for its commitment to excellence, innovation, and leadership in the financial sector.

Work You’ll Do

At Goldman Sachs, you will be part of a dynamic environment that fosters growth, diversity, and professional development. Engage in transformative projects that redefine the landscape of global finance, driven by a culture of high performance and continuous improvement.

Lead with Innovation and Leadership

Step into a role where your skills will be honed and your leadership capabilities enhanced. The Goldman Sachs Group, Inc. is at the forefront of merging financial expertise with technological innovation, creating a platform for you to lead impactful initiatives.

Join Our Diverse and Inclusive Team

Diversity and inclusion are at the core of our company culture. With employees from various backgrounds, Goldman Sachs thrives on the rich ideas and perspectives that this diversity brings. Here, every team member’s contribution is valued, and every voice is heard.

Explore Job Opportunities and Internships

Whether you’re seeking full-time employment or looking into internship opportunities, Goldman Sachs offers a range of positions that cater to different skills, experiences, and career aspirations. From analyst to executive positions, discover how you can contribute to our legacy of success.

Networking and Professional Growth

Goldman Sachs is not just a workplace. It is a community where you can build lasting relationships with colleagues and industry leaders. Our networking events, mentorship programs, and professional groups foster connections that can accelerate your career trajectory.

Benefits and Career Development

Invest in your future with Goldman Sachs’ unparalleled employee benefits and career development programs. From comprehensive health benefits to personalized career coaching and leadership training, we ensure that our team is equipped for success, both professionally and personally.

Prepare for Your Future

Ready to take the next step? Prepare your resume, sharpen your interview skills, and explore the vast array of job opportunities at The Goldman Sachs Group, Inc. Our hiring process is designed to identify and nurture talent, helping you to achieve your career goals.

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Join The Goldman Sachs Group, Inc.

Embark on a rewarding journey with The Goldman Sachs Group, Inc. where your potential is limitless. Explore positions, read about our company culture, and apply today to become part of a team that values growth, leadership, and innovation.

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At The Goldman Sachs Group, Inc., your career is just the beginning – it’s an opportunity to excel and lead in the global financial industry. Join us and make your mark!
Learn more about The Goldman Sachs Group, Inc
Size
45,100 employees
Market Cap
$115.8 billion
Industry
Finance & Insurance
Net Income
$9.4 billion
Founded
1869
5 Year Trend
+11.3%
Revenue
$53.4 billion
NASDAQ
GS
* Ladders Estimates

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