Asset Management Marketing Compliance Associate

SRI Conference; Dallas (TX); On-site; USD 110,000 - 170,000; Full time

Job summary

Goldman Sachs Global Compliance in Dallas seeks a Compliance Associate to provide day-to-day oversight of marketing materials for Asset Management. The role partners with AM Marketing to ensure regulatory alignment, reputational risk control, and practical guidance across content and campaigns.

The ideal candidate has 3+ years in compliance or financial services, with strong writing, judgment and ability to translate complex rules into actionable procedures.

Qualifications

• Bachelor's degree required; JD or MBA a plus.
• 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 compliance oversight and practical guidance to AM Marketing personnel regarding the development, review, approval 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

Marketing compliance

Written & verbal communication

Project management

Cross-functional collaboration

Attention to detail

Education

Bachelor's degree

Juris Doctor (JD)

MBA

Job description

Goldman Sachs Global Compliance in Dallas seeks a Compliance Associate to provide day-to-day oversight of marketing materials for Asset Management. The role partners with AM Marketing to ensure regulatory alignment, reputational risk control, and practical guidance across content and campaigns.

The ideal candidate has 3+ years in compliance or financial services, with strong writing, judgment and ability to translate complex rules into actionable procedures.