Asset Management Marketing Compliance Associate

Goldman Sachs Group; Dallas (TX); On-site; USD 90,000 - 130,000; Full time

Job summary

Goldman Sachs is seeking a Compliance Associate for the US Asset Management Sales and Marketing team in Dallas. You will provide day-to-day guidance on the development, review and use of marketing materials while ensuring regulatory alignment across AM products and channels.

You will partner with Marketing, Legal and Operations, translating complex regulations into practical controls, and help shape the firm’s preventive compliance culture through training and targeted reviews.

Qualifications

• 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience.
• Experience advising on advertising or marketing compliance matters within asset management or another regulated financial services business preferred.
• Working knowledge of the regulatory framework applicable to investment advisers, registered investment companies, broker-dealers and the marketing of investment products preferred.
• Excellent written and oral communication skills, sound judgment, strong organizational skills and attention to detail.
• Strong project-management and relationship-building skills, with the ability to collaborate effectively across business, regional and control-function teams.
• Ability to analyze complex regulatory requirements, communicate them clearly and develop practical, risk-based solutions.
• Ability to manage multiple priorities and work effectively in a fast-paced environment.

Responsibilities

• Provide day-to-day compliance advice and oversight relating to the development, review and use of marketing materials and communications.
• Review and advise on marketing materials and other content used to describe or promote AM products, services and investment capabilities.
• Analyze and stay current on laws, rules, regulations and regulatory expectations applicable to investment adviser advertising, fund marketing and related communications in the United States and abroad.
• Advise on new marketing channels, campaigns, content formats and other business initiatives, including the development of practical compliance controls and escalation processes.
• Develop, draft and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, applicable regulations and best practices for marketing activities.
• Create and deliver compliance training for relevant stakeholders.
• Perform compliance monitoring and testing, including reviews of surveillances and targeted or forensic reviews, to assess marketing compliance risks and identify potential breaches or control enhancements.
• Coordinate with business and control-function stakeholders to address regulatory developments, compliance issues and remediation activities relating to marketing.
• Assist with regulatory examinations, audits and inquiries, including gathering information, preparing responses and tracking follow-up items.

Skills

Regulatory compliance

Written communication

Oral communication

Project management

Stakeholder collaboration

Attention to detail

Job description

Goldman Sachs is seeking a Compliance Associate for the US Asset Management Sales and Marketing team in Dallas. You will provide day-to-day guidance on the development, review and use of marketing materials while ensuring regulatory alignment across AM products and channels.

You will partner with Marketing, Legal and Operations, translating complex regulations into practical controls, and help shape the firm’s preventive compliance culture through training and targeted reviews.