Compliance-Dallas-Associate, Regulatory Compliance–3767924

Job description

Job Duties: Associate, Regulatory Compliance with Goldman Sachs & Co. LLC in Dallas, Texas. Multiple Openings. Help execute the Compliance Testing Group’s (“CTG”) mandate to investigate whether activities and practices are in compliance with policies and regulations and the firm’s compliance control infrastructure. Propose methods of testing and execute test plans (“reviews”) that have been discussed and agreed with a team manager. This includes, among other things, gathering data, performing analyses, and documenting results. Handle multiple reviews concurrently, including driving the reviews through each phase of the review life cycle such as planning, scoping, testing, socialization of results, tracking finding remediations (if applicable). Coordinate and lead frequent interactions with senior members of the firm (including in Compliance, the firm’s businesses and Engineering) to address review follow-ups, socialize findings, and track and review finding remediations. Identify potential compliance, conduct and reputational issues such as control gaps/deficiencies and/or employee misconduct that presents compliance and/or regulatory risk and effectively escalate to appropriate in...