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Compliance, Non-Prudential Regulatory Compliance

3 months ago

Dallas, Texas, United States The Goldman Sachs Group Full time

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.

Overview

Our business principle #2 states: "We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard."

It is the role of Goldman Sachs' Global Compliance Division to help ensure that every employee and client of the firm upholds this principle. Accordingly, the Division is viewed as an integral part of the firm, enabling it to conduct business confidently in complex global markets.

Part of the Global Compliance Division, the firm's Non-Prudential Regulatory Compliance team ("NPRC") is a dynamic, cross-regional team of more than 25 professionals charged with interfacing with regulators on regulatory examinations and inquiries received in the US. The team has members in Bengaluru, Dallas, and New York.

We are looking for a talented individual to join NPRC as an Associate in the firm's Dallas office, focusing on regulatory exams and inquiries relating to Goldman Sachs' various U.S. businesses. Specifically, the Associate or Analyst will help our NPRC team in its management of interactions with non-prudential regulators such as the CFTC, SEC, FINRA and NFA. These interactions typically relate to any number of financial industry regulatory topics, including recent market developments, potential market abuse and/or manipulation, regulatory reporting requirements, new areas of firm business, risk management practices, new regulatory requirements, recordkeeping, and supervisory policies and procedures, among other topics.

Responsibilities

The NPRC team coordinates, on behalf of Goldman Sachs, responses to requests for information received by the firm from non-prudential U.S. financial industry regulators. The team also periodically responds to requests for information from foreign regulators. The majority of requests handled by NPRC seek to test and/or confirm Goldman Sachs' compliance with the laws and regulations applicable to its many businesses.

As the liaison between the firm and its regulators on matters of regulatory compliance, NPRC team members work closely with business, engineering, operations, risk, compliance and legal teams throughout the firm. Working with and advising these stakeholders, NPRC is responsible for helping ensure that the firm manages, and responds to, regulatory inquiries, examinations and other requests for information in a manner that meets our regulators' requirements and expectations. Accuracy, timeliness, organization and efficiency are essential.

An Associate on the NPRC team provides critical support to fellow NPRC team members in their management of the firm's regulatory interactions. This entails assisting more senior team members as they: (i) research applicable rules and interpretive guidance, (ii) form and coordinate working groups of relevant firm personnel, (iii) interface with regulators regarding information requests and the firm's responses, (iv) conduct informational interviews and gather responsive documentation, (v) prepare written responses to information requests, (vi) coordinate in-person meetings with regulators, (vii) advise internal stakeholders on regulators' expectations and prior firm interactions, (viii) manage a docket of multiple regulatory matters (both inquiries and exams), (ix) monitor the firm's progress in completing undertakings made to regulators during the course of inquiries and exams, (x) keep detailed records of regulatory correspondence, and (xi) advise firm stakeholders on potential enhancements to firm processes and controls identified during the course of regulatory interactions.

Because providing operational support to the NPRC team is a key component of Associates' responsibility, interested candidates should expect that a significant portion of their time will be time will be spent arranging meetings, keeping meeting notes, preparing documentation for production to regulators, tracking information requests received from regulators and their status, and maintaining detailed records of the firm's regulatory interactions using relevant firm systems.

NPRC team members attach importance to in-person learning and connectivity, and accordingly, this is an in-office role at the firm's Dallas office, not a remote position.

An Associate in NPRC must have the ability to:

  • Leverage strong communication and relationship-building skills;
  • Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders;
  • Grasp and keep abreast of relevant policies and procedures;
  • Conduct skilled research and data gathering;
  • Effectively and efficiently conduct business by video, phone and in-person meetings with both internal and external stakeholders;
  • Organize and maintain large quantities of data and documentation in a dynamic environment;
  • Be unfailingly detail-oriented, so as to consistently produce accurate work product;
  • Work independently and exercise strong judgment when executing an assigned task;
  • Multi-task and have the ability to manage and advance multiple projects simultaneously;
  • Identify and effectively escalate potential issues to appropriate person(s);
  • Meet tight deadlines and comfortably operate in the face of time constraints;
  • Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded.

Basic Qualifications

  • Bachelor's degree;
  • Proficiency with Microsoft Word, Excel and PowerPoint;
  • Business-level fluency in English, both orally and in writing;
  • Excellent time management, analytical and communication skills;
  • Integrity, motivation, intellectual curiosity and enthusiasm;
  • Familiarity with financial industry products and markets, as well as corresponding rules and regulations.

Preferred Qualifications

  • Graduate degree in law, business, or other relevant program;
  • Outstanding graduate school and undergraduate credentials;
  • At least three years of relevant post-undergraduate work experience, or, if holding a Masters, PhD, MBA, JD or equivalent, one to two years of relevant experience;
  • Prior experience involving interactions with financial industry regulators, particularly regulatory exams and inquiries, or experience working for a regulatory agency.

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

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

The Goldman Sachs Group, Inc., 2024. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.