Regulatory Compliance Specialist

2 weeks ago


Dallas, Texas, United States Goldman Sachs & Co. LLC Full time

Position Overview: As a Regulatory Compliance Specialist, you will act as the primary liaison for both internal and external stakeholders, including auditors, custodians, trading desks, and client relationship teams.

Qualifications: Candidates must possess a Bachelor's degree (U.S. or foreign equivalent) in Business Administration, Management, Finance, Economics, Accounting, or a related discipline. Additionally, one (1) year of relevant experience in the offered position or a similar role is required. Alternatively, a Master's degree with one (1) year of experience or a Bachelor's degree with three (3) years of experience in a related field is acceptable.

Key Responsibilities:

  • Conduct financial regulatory reporting and ensure data integrity.
  • Oversee requests related to compliance regulations and audits.
  • Utilize knowledge of financial principles and products effectively.
  • Manage projects and collaborate with both internal and external business partners for regulatory submissions.
  • Implement risk management controls for monitoring FINRA limits and CFTC exemptions.

Additional Information: Goldman Sachs is committed to fostering a diverse and inclusive workplace. We are an equal employment/affirmative action employer, welcoming applicants from all backgrounds including Female, Minority, Disability, Veteran, Sexual Orientation, and Gender Identity.



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