Compliance Associate

Compliance-The Core Compliance, Associate, Dallas 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 with 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 (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 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 firm‑wide networks to benefits, wellness and personal finance offerings and mindfulness programs. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veteran status, disability, or any other characteristic protected by applicable law. Benefits Healthcare & Medical Services: 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. 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: 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: 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. #J-18808-Ljbffr