Overview
Compliance, Asset Management Compliance – Regulatory, Associate/Vice President Jobs in Dallas, Texas, USA at Goldman Sachs Bank AG
Position: Compliance, Asset Management Compliance – Regulatory, Associate / Vice President
Compliance, Asset Management Compliance – Regulatory, Associate / Vice President Dallas, Texas, United States
Global Compliance
Our division prevents, detects, and mitigates compliance, regulatory, and reputational risks across the firm. Compliance strengthens the firm’s culture of compliance through enterprise-wide risk management programs. As an independent control function and part of the firm’s second line of defense, Compliance assesses risks, monitors adherence to laws and regulations, designs controls, policies, procedures, and training, conducts independent testing, investigates breaches, and leads responses to regulatory examinations, audits, and inquiries.
The team comprises members from diverse backgrounds such as law, accounting, sales, and trading. We seek individuals with sound judgment, curiosity, and adaptability to a changing regulatory landscape.
This position is within the divisional compliance team covering the Asset Management (“AM”) business within Goldman Sachs’ Asset & Wealth Management (“AWM”). AM offers global, multi-product investment solutions, serving a diverse client base including individuals, financial advisors, and institutions, helping them achieve their investment goals.
Responsibilities and Qualifications
We are seeking a compliance Vice President or Associate to join the AM Compliance team. The role involves advising on portfolio management, investing, lending activities, fundraising, and regulatory compliance, particularly focusing on ERISA. Responsibilities include managing complex regulatory audits, interacting with auditors, preparing documentation, coordinating meetings, and advising internal stakeholders. The candidate should have excellent communication, project management skills, and a strong understanding of applicable regulations.
Experience with ERISA regulations is a plus.
Maintain compliance programs for SEC-registered advisers, focusing on ERISA
Manage regulatory audits and interface with auditors
Conduct interviews and gather documentation
Prepare responses to information requests
Coordinate meetings and advise on audit expectations
Follow up to ensure information is obtained and recorded
Monitor firm’s progress on audit undertakings
Keep detailed regulatory correspondence records
Advise on process and control enhancements
Develop and maintain compliance policies and procedures
Create and deliver compliance trainings
Qualifications
Bachelor’s degree required
4-8 years of experience in Compliance, Legal, Regulatory, or Financial Services
Excellent communication, judgment, organizational, and project management skills
Ability to handle multiple tasks in a fast-paced environment
Experience with ERISA regulations is a plus
About Goldman Sachs
Founded in 1869, Goldman Sachs is a leading global investment banking, securities, and investment management firm headquartered in New York, with offices worldwide. We are committed to diversity, inclusion, and professional growth through various programs and benefits.
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Title: Compliance, Asset Management Compliance – Regulatory, Associate/Vice President
Company: Goldman Sachs Bank AG
Location: Dallas, Texas, USA
Category: Finance & Banking (Regulatory Compliance Specialist), Law/Legal (Regulatory Compliance Specialist)
