Compliance- Control, Finance and Operating (CF&O) - Corporate Treasury Coverage, Associate, Dal[...]

Compliance- Control, Finance and Operating (CF&O) - Corporate Treasury Coverage, Associate, Dallas 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. CF&O Compliance – Business Unit and Role Overview Part of the Global Compliance Division, the firm’s CF&O Compliance team is a global team with responsibility for providing compliance coverage to Corporate Treasury, Engineering, Controllers, Operations, Corporate and Workplace Solutions, Executive Office, Corporate Planning & Management, Risk, Tax and Human Capital Management divisions. This includes: Conducting risk identification, measurement, and assessment 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 Federation groups Testing the effectiveness of controls Writing policies and procedures Communicating regulatory requirements and firm policy expectations to educate others both one‑on‑one and through compliance learning initiatives Role, Responsibilities, and Qualifications This role will focus on, but not be limited to, providing Compliance coverage of Corporate Treasury with an emphasis on regulatory and conduct risk in the Americas. As Corporate Treasury Compliance coverage, you will provide real‑time compliance guidance to the Corporate Treasury Division holistically and trading‑specific compliance guidance to the Corporate Treasury trading group. This includes all relevant rules, regulations and internal policies that govern the Corporate Treasury business. A successful candidate will also participate in region‑wide and global initiatives to enact the Global Compliance mandate. To fulfill this role, you will: Provide Compliance coverage for Corporate Treasury functions, including Liquidity Management, Asset Liability Management, Payments, Resource Allocation, Execution (trading), and Operations and Engineering Review and challenge Treasury activities (funding, pricing practices, payments processing, cash sweeps, collateral use) for regulatory and conduct risks Provide proactive, early‑stage compliance challenge and guidance on new activities, including regulatory impact assessment and control design Support the completion of various risk assessment programs impacting Corporate Treasury Perform targeted reviews of Corporate Treasury controls and processes 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 Corporate Treasury; coordinate timely escalation, root‑cause analysis, and corrective actions Provide support and guidance to Corporate Treasury in regulatory exams and inquiries; prepare materials and evidence and oversee issue management Brief senior leadership on risks identified and ensure stakeholder engagement Develop and deliver targeted training programs Investigate and liaise with internal stakeholders in relation to conduct issues Coordinate with the broader CF&O Compliance team on initiatives and projects Bachelor’s degree or higher At least 3 years of Compliance, Legal, Regulatory or Financial Services industry experience Knowledge of activities of a Treasury function and fixed‑income trading products Understanding of regulations, practices and markets infrastructure in the Americas Qualifications A strong candidate for CF&O Compliance will satisfy some or all of the following criteria: Bachelor’s degree or higher At least 3 years of Compliance, Legal, Regulatory or Financial Services industry experience Knowledge of activities of a Treasury function and fixed‑income trading products Understanding of regulations, practices and markets infrastructure in the Americas Skills A strong candidate for CF&O Compliance will possess the following skills: Clear, concise communication skills; able to communicate with impact at senior levels Able and willing to challenge; comfortable with inter‑personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager Sound judgment, ethics and integrity Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and finding innovative solutions Proficient in using technology; able to analyze data sets and summarize findings Team‑oriented and supportive of others’ success; comfortable representing a teamwork product to stakeholders Well organized with the ability to manage both longer term projects and daily, often time‑sensitive, escalations. Benefits We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short‑term disability, long‑term disability, life, accidental death, labor accident and business travel accident insurance. We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year. Financial Wellness & Retirement We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities. Health Services We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state‑of‑the‑art on‑site health centers in certain offices. Fitness To encourage employees to live a healthy and active lifestyle, some of our offices feature on‑site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre‑approved amount). Child Care & Family Care We offer on‑site child care centers that provide full‑time and emergency back‑up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available. Benefits at Goldman Sachs Read more about the full suite of class‑leading benefits our firm has to offer. Equal Opportunity Employer Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law. #J-18808-Ljbffr Goldman Sachs Bank AG