Compliance, Asset Management Compliance – Regulatory, Associate / Vice President

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

Job summary

A leading global investment bank seeks a Compliance Associate or Vice President to join their Asset Management Compliance team in Dallas. This role involves managing regulatory audits, advising on compliance matters, and maintaining compliance programs, particularly focusing on ERISA regulations. The ideal candidate will possess strong communication and project management skills, with a background in compliance or financial services.

Qualifications

• 4-8 years of experience in Compliance, Legal, Regulatory, or Financial Services.
• Ability to handle multiple tasks in a fast-paced environment.

Responsibilities

• Manage regulatory audits and interface with auditors.
• Maintain compliance programs for SEC-registered advisers, focusing on ERISA.
• Prepare responses to information requests.

Skills

Communication

Project Management

Judgment

Education

Bachelor's degree

Job description

Compliance, Asset Management Compliance – Regulatory, Associate / Vice President location_on Dallas, Texas, United States

Global Compliance

Our division prevents, detects, and mitigates compliance, regulatory, and reputational risks across the firm. Compliance strengthens the firm's culture of compliance through enterprise-wide risk management programs. As an independent control function and part of the firm's second line of defense, Compliance assesses risks, monitors adherence to laws and regulations, designs controls, policies, procedures, and training, conducts independent testing, investigates breaches, and leads responses to regulatory examinations, audits, and inquiries. The team comprises members from diverse backgrounds such as law, accounting, sales, and trading. We seek individuals with sound judgment, curiosity, and adaptability to a changing regulatory landscape.

This position is within the divisional compliance team covering the Asset Management ("AM") business within Goldman Sachs' Asset & Wealth Management ("AWM"). AM offers global, multi-product investment solutions, serving a diverse client base including individuals, financial advisors, and institutions, helping them achieve their investment goals.

Responsibilities and Qualifications

We are seeking a compliance Vice President or Associate to join the AM Compliance team. The role involves advising on portfolio management, investing, lending activities, fundraising, and regulatory compliance, particularly focusing on ERISA. Responsibilities include managing complex regulatory audits, interacting with auditors, preparing documentation, coordinating meetings, and advising internal stakeholders. The candidate should have excellent communication, project management skills, and a strong understanding of applicable regulations. Experience with ERISA regulations is a plus.

• Maintain compliance programs for SEC-registered advisers, focusing on ERISA
• Manage regulatory audits and interface with auditors
• Conduct interviews and gather documentation
• Prepare responses to information requests
• Coordinate meetings and advise on audit expectations
• Follow up to ensure information is obtained and recorded
• Monitor firm’s progress on audit undertakings
• Keep detailed regulatory correspondence records
• Advise on process and control enhancements
• Develop and maintain compliance policies and procedures
• Create and deliver compliance trainings

Qualifications

• Bachelor's degree required
• 4-8 years of experience in Compliance, Legal, Regulatory, or Financial Services
• Excellent communication, judgment, organizational, and project management skills
• Ability to handle multiple tasks in a fast-paced environment
• Experience with ERISA regulations is a plus

About Goldman Sachs

Founded in 1869, Goldman Sachs is a leading global investment banking, securities, and investment management firm headquartered in New York, with offices worldwide. We are committed to diversity, inclusion, and professional growth through various programs and benefits.