Current jobs related to Regulatory Compliance Analyst - Dallas, Texas - Goldman Sachs Group, Inc.


  • Dallas, Texas, United States Parkland Health Full time

    Compliance Analyst Job DescriptionParkland Health is seeking a highly skilled Compliance Analyst to join our team. As a Compliance Analyst, you will play a critical role in ensuring that our organization adheres to regulatory requirements and industry standards.Key Responsibilities:Conduct compliance risk assessments and develop corrective action plans to...


  • Dallas, Texas, United States Integrity Marketing Shared Services Center Full time

    Job Title: Legal Officer of Regulatory Compliance & Wealth ManagementWe are seeking a highly skilled Legal Officer to join our team at Integrity Marketing Shared Services Center. As a key member of our organization, you will be responsible for managing regulatory compliance, enterprise risk management, and aligning regulatory, compliance, and risk mitigation...


  • Dallas, Texas, United States HedgeServ Full time

    HedgeServ is a leading global fund administrator with a strong commitment to regulatory compliance. We optimize our clients' experience using unique proprietary technology and expert knowledge of regulatory requirements.As a Regulatory Compliance Specialist, you will play a critical role in ensuring the accuracy and completeness of regulatory reporting...


  • Dallas, Texas, United States Apex Fintech Services LLC Full time

    About This RoleThe Senior Compliance Analyst (Regulatory Requests) plays a key role within our Compliance Program at Apex Fintech Services LLC. This position requires interacting with both regulators (FINRA, SEC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner.Key Responsibilities:Provide general...


  • Dallas, Texas, United States HedgeServ Full time

    HedgeServ is a leading global fund administrator with a strong commitment to regulatory compliance.We are seeking a highly skilled Regulatory Compliance Specialist to join our team and support our clients' needs in this area.The successful candidate will be responsible for various operational requirements surrounding hedge fund regulatory compliance...

  • Regulatory Analyst

    1 month ago


    Dallas, Texas, United States UT Southwestern Medical Center Full time

    Why UT Southwestern?At UT Southwestern Medical Center, we're committed to excellence, innovation, and teamwork. Our highly competitive benefits package offers healthcare, paid time off, and opportunities for career growth and development. We're proud to be a Veteran Friendly work environment and value your integrity, dedication, and commitment to our...


  • Dallas, Texas, United States DaVita Full time

    Job SummaryAs a Regulatory Compliance Specialist at Milliman, you will play a crucial role in ensuring the accuracy and compliance of employee benefits plans. Your primary responsibility will be to prepare plan documents, amendments, resolutions, policies, and procedures, as well as prepare certain IRS/DOL filings and corrections. You will also provide...


  • Dallas, Texas, United States Parkland Health Full time

    Compliance Analyst PRN Job DescriptionParkland Health is seeking a highly skilled Compliance Analyst PRN to join our team. As a Compliance Analyst PRN, you will play a critical role in supporting our compliance program initiatives, with a focus on investigations and reporting, and auditing and monitoring.Key ResponsibilitiesPerform a variety of activities in...


  • Dallas, Texas, United States Milliman Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Associate to join our team at Milliman. As a key member of our compliance team, you will be responsible for preparing plan documents, amendments, resolutions, policies, and procedures, as well as preparing certain IRS/DOL filings and corrections.Key ResponsibilitiesPrepare plan documents,...


  • Dallas, Texas, United States DaVita Full time

    Job SummaryThe Regulatory Compliance Specialist will be responsible for preparing plan documents, plan amendments, resolutions, policies and procedures, SPDs and SMMs. This role requires strong working knowledge of 401(k) plans and industry experience with an expertise in retirement plan documents. The ideal candidate will have excellent problem-solving...


  • Dallas, Texas, United States United Texas Bank Full time

    About United Texas BankAt United Texas Bank, we're dedicated to providing innovative and responsive solutions to help our clients achieve financial success. Our strength lies in our ability to listen and react to our customers' needs in a timely, personal, and professional manner. Our team members experience a collaborative environment where innovation and...


  • Dallas, Texas, United States Parkland Health and Hospital System Full time

    Job Title: Director of Regulatory Compliance and Privacy OfficerAre you a seasoned professional with a passion for regulatory compliance and privacy? Do you have a strong background in healthcare operations and compliance? We are seeking a highly skilled Director of Regulatory Compliance and Privacy Officer to join our team at Parkland Health and Hospital...


  • Dallas, Texas, United States AT&T Full time

    Job Title: Lead Financial Compliance AnalystAT&T is seeking a highly skilled Lead Financial Compliance Analyst to join our team. As a key member of our compliance team, you will be responsible for managing Sarbanes-Oxley compliance efforts and ensuring the accuracy and reliability of our financial reporting.Key Responsibilities:Design, implement, and monitor...


  • Dallas, Texas, United States United Texas Bank Full time

    About United Texas BankUnited Texas Bank is a Texas-based bank that focuses on providing creative and responsive solutions to help its clients achieve financial success. The bank's mission is to provide timely, personal, and professional service to its customers. United Texas Bank team members experience a collaborative environment where innovation and...


  • Dallas, Texas, United States United Texas Bank Full time

    About United Texas BankAt United Texas Bank, we're dedicated to providing creative and responsive solutions to help our clients achieve financial success. Our strength lies in our ability to listen and react to our customers' needs in a timely, personal, and professional manner. Our team members experience a collaborative environment where innovation and...


  • Dallas, Texas, United States AlienVault Full time

    Job OverviewAs a Lead Financial Compliance Analyst at AT&T, you will play a critical role in managing Sarbanes-Oxley compliance efforts. This includes designing, implementing, and monitoring internal controls over financial reporting (ICFR) to ensure compliance with SOX requirements. You will work closely with operational and finance partners to ensure...


  • Dallas, Texas, United States United Texas Bank Full time

    About United Texas BankAt United Texas Bank, we're dedicated to providing creative and responsive solutions to help our clients achieve financial success. Our strength lies in our ability to listen and react to our customers' needs in a timely, personal, and professional manner. Our team members experience a collaborative environment where innovation and...


  • Dallas, Texas, United States Parkland Health and Hospital System Full time

    Job SummaryWe are seeking a highly skilled and experienced Director of Regulatory Compliance and Privacy Officer to join our team at Parkland Health and Hospital System. As a key member of our leadership team, you will be responsible for managing the effective implementation of our regulatory compliance and information privacy program across the health...


  • Dallas, Texas, United States Parkland Health and Hospital System (PHHS) Full time

    Job Title: Director of Regulatory Compliance and Privacy OfficerParkland Health and Hospital System (PHHS) is seeking a highly skilled and experienced Director of Regulatory Compliance and Privacy Officer to join our team. This is a critical role that requires a strong understanding of regulatory compliance and privacy laws, as well as excellent leadership...

  • Compliance Manager

    2 months ago


    Dallas, Texas, United States Axis Energy Services Full time

    About the RoleWe are seeking a highly skilled Compliance Manager to join our team at Axis Energy Services. As a key member of our organization, you will be responsible for establishing, implementing, and maintaining a comprehensive safety and compliance program that aligns with our business goals and industry standards.Key ResponsibilitiesDevelop and...

Regulatory Compliance Analyst

2 months ago


Dallas, Texas, United States Goldman Sachs Group, Inc. Full time

GLOBAL BANKING AND MARKETS


At Goldman Sachs, we prioritize the establishment of robust relationships with our institutional clientele, encompassing corporations, financial service entities, and fund managers.

Our mission is to facilitate the buying and selling of financial instruments on global exchanges, assist in capital raising, and effectively manage risk.

This role is part of a dynamic, entrepreneurial team that thrives in fast-paced environments, energized by the activity of a bustling trading floor.


RESPONSIBILITIES AND QUALIFICATIONS

Team Overview:

The Regulatory Controls Management Team (RCM) plays a pivotal role in overseeing preventive (pre-trade) and detective (post-trade) controls and processes related to various regulatory obligations within the Global Banking & Markets division.

The team is dedicated to the design, implementation, and enhancement of trading controls for Sales & Trading, which includes alert management and escalation to key stakeholders.

Key Responsibilities:

1. Design and implement preventive and detective controls for new regulatory requirements while identifying enhancements for existing controls.


2. Develop expertise in covered obligations/functions and collaborate with diverse working groups to ensure comprehensive risk management.

3. Drive strategic initiatives aimed at streamlining existing control designs, workflows, and processes across various regulatory obligations.

4. Formulate and develop business control requirements for new regulatory implementations.

5. Partner with Desks, Compliance, Legal, and Engineering teams to refine business control workflows.

6. Create management reporting tools (e.g., metrics, dashboards) to enhance visibility and facilitate communication with obligation owners, desks, and senior leadership.

7. Maintain a thorough understanding of Global Banking and Markets operations and foster relationships with sales and trading personnel.

Basic Qualifications:
1. Bachelor's degree.

2. 3-5 years of relevant professional experience.
Prior exposure to regulatory obligations and related functions is preferred.

3. Familiarity with derivative products, sales/trading booking platforms, and trade flows.

4. Proficient in data analysis to perform root cause, trending, and impact analyses for informed decision-making.

5. Experience collaborating with Technology teams to define and clarify business requirements.

6. Strong ability to manage timelines, multiple projects, and prioritize tasks in a rapidly evolving environment.

7. Capable of identifying and articulating complex issues to a diverse group of stakeholders, proposing solutions, and escalating as necessary.

8. Skilled in crafting effective presentations and reports for various stakeholders.

9. Excellent time management, organizational skills, and attention to detail; ability to thrive in a fast-paced environment and communicate effectively.

ABOUT GOLDMAN SACHS


Goldman Sachs is dedicated to leveraging our people, capital, and ideas to support our clients, shareholders, and the communities we serve.

Founded in 1869, we are a premier global investment banking, securities, and investment management firm, with a presence in multiple locations worldwide.

We believe that individual diversity enhances our collective performance.

Our commitment to fostering diversity and inclusion extends throughout our workplace and beyond, ensuring that every individual has ample opportunities for professional and personal growth through our training programs, development initiatives, and wellness offerings.

Learn more about our culture, benefits, and people at

We are committed to providing reasonable accommodations for candidates with special needs or disabilities during our recruitment 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

#J-18808-Ljbffr