The Goldman Sachs Group, Inc

Compliance-The Core Compliance, Associate, Dallas

The Goldman Sachs Group, Inc • $80K — $120K *
Dallas, TX 75217In-Person
Finance & Insurance
Less than 5 years of experience
5 days ago
Job Overview by Ladders

Qualifications

  • 3+ years of experience in compliance, risk management, legal, or a related control function within a U.S. broker-dealer or financial institution.
  • Strong knowledge of operational practices in securities and derivatives markets.
  • Familiarity with regulations from SEC, FINRA, CFTC, and NFA.
  • Experience supporting regulatory audits or inquiries with direct interactions with regulators.
  • Proficient analytical skills with a focus on data and technology, familiarity with tools like SQL and Tableau.

Responsibilities

  • Advise and influence Core divisions on regulations and reputational risks.
  • Leverage analytics tools to identify compliance patterns and insights.
  • Analyze regulatory changes and assess their impact on the Core.
  • Support policy development to ensure regulatory compliance.
  • Investigate and manage compliance issues within Core functions.
  • Present findings and influence senior leadership decisions.
  • Conduct forensic reviews to monitor compliance adherence.

Benefits

  • Comprehensive training and development programs.
  • Access to the latest compliance technology and tools.
  • Opportunity to work in a collaborative and diverse team environment.
  • Engagement in a mission to uphold regulatory integrity.
  • Participation in global compliance initiatives and regional projects.
Full Job Description
Job Description

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.

BUSINESS UNIT AND ROLE OVERVIEW

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

ROLE AND RESPONSIBILITIES

This role will focus on providing Compliance coverage for the Controllers and Tax divisions, as well as Operations groups embedded within revenue divisions located in Dallas. A successful candidate will also participate in regional and global initiatives that support the Global Compliance mandate.

Here is what you will own and drive:
  • 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
  • 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


QUALIFICATIONS AND SKILLS

A strong candidate for The Core Compliance will satisfy some or all of the following criteria:
  • Communication: Clear, concise written and verbal communication skills; ability to present findings and influence decisions at senior leadership levels.
  • Professional Independence: 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.
  • Analytical and Tech-Savvy: Proficient in using technology to analyze large datasets and summarize findings; familiarity with data tools (e.g., SQL, Tableau, Alteryx) is a plus.
  • Adaptability: A fast learner who can adapt to rapid business and regulatory changes.
  • Execution & Organization: Highly organized with the ability to manage long-term projects alongside time-sensitive, daily escalations.
  • Collaboration: Team-oriented mindset with a strong commitment to collective success.

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.

Stay Connected

Keep up to date with the latest from Goldman Sachs Careers by subscribing to our job alert emails. Tailor your preferences to receive updates that match your career interests and stay ahead in the competitive financial sector.

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.

SEARCH GOLDMAN SACHS JOBS

READ CAREERS BLOG

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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