Compliance, Consumer Compliance, Associate, Richardson TX, Draper UT

1 month ago

Richardson, Texas, United States tapwage 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.

Responsibilities

This position will play a key role on the Consumer Compliance team covering GS Select.

GS Select is a business within Goldman Sachs Bank USA that extends securities-based lines of credit (SBLOC) to affluent and high net worth clients of independent broker-dealers and Registered Investment Advisors (RIAs).

Consumer Compliance works closely with the business and federation groups within the firm to provide compliance coverage, including establishing a framework for identifying, assessing, controlling, measuring, monitoring and reporting compliance risks.


Responsibilities of the role include supporting the development of new lending products by providing compliance guidance to assist the business with establishing product functionality as well as operational processes/procedures for both new product development and existing products.

The candidate will also provide continued support for other compliance matters, which will include:

  • Maintaining Compliance oversight of product and process change management
  • Representing compliance in various business and control function meetings
  • Analyzing regulatory changes and formulating solutions to new regulatory developments
  • Providing guidance and approval for compliance policies, procedures, training, and marketing materials
  • Identifying and overseeing the resolution of issues as part of the issues management process
  • Interacting with internal auditors to navigate compliance related inquiries and assist with action plans created as a result of examinations, audits, or internal testing
  • Work with business data & business intelligence tools to identify potential issues, trend and emerging risks, as well as assist with root cause analyses.
  • Provide training on applicable compliance requirements
Qualifications

  • 3+ years of compliance, operations, or legal experience in consumer financial services
  • Bachelor's degree or equivalent military experience
  • Knowledge of applicable U.S. federal and state consumer lending laws and regulations as well as industry association standards, including, among others, Equal Credit Opportunity Act (Reg B), Fair Credit Reporting Act (Reg V), UDAAP
  • Must be selfdirected, organized, positive, driven, detailoriented, and effective in a fastpaced, changing environment
  • Strong project management, analytical, and advisory skills
  • Ability to quickly grasp new complex concepts and regulations
  • Ability to identify opportunities for process improvements
  • Ability to work independently and be teamoriented
  • Strong work ethic

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., 2023. All rights reserved.

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

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