Compliance, Compliance Testing Group (CTG), Vice President, Dallas

Compliance Testing Group Role

Compliance Testing Group ("CTG") is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate. CTG's global team (with locations in Dallas, New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, compliance professionals, lawyers, and traders). The individual will work closely with Compliance and business management.

Principal Responsibilities

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals
• Multi-task work on several different reviews with different individuals at the same time
• Leverage strong communication skills to interact with Compliance and business senior management
• Team with colleagues around the globe to share findings and refine processes

Basic Qualifications

• Bachelor's Degree
• Broad knowledge of financial products and markets, as well as laws, rules and regulations, such as FINRA and SEC rules
• Excellent written and verbal communication skills, with the ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, written communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Knowledge of Microsoft Word and Excel; additional knowledge of Alteryx is useful

Preferred Qualifications

• Compliance, auditing, testing (i.e., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
• Familiarity with Business Intelligence and AI tools
• Fluency in French, Portuguese, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus

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.

Job Info

• Job Identification 177809
• Job Category Vice President
• Locations Dallas, TX, United States