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.  

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 controlsAssessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policiesInteracting with the WM business, Divisional Compliance, Legal and Operations teams on a daily basisReviewing marketing materials that are used to pitch Wealth Management products and services to clientsAdvising Wealth Management teams on regulations, policies and client issuesParticipating in US WM 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 industryPossess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisionsWork well under pressure and has a positive, hands-on, “can do” attitude Be able to devise and implement creative and innovative solutionsPossess strong analytical and risk assessment skills as well as concise verbal and written communication skillsBe 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
  ABOUT GOLDMAN SACHS
  At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.    We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. 
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