Compliance, Compliance Testing Group, Associate - Dallas

Goldman Sachs, Inc.; Dallas (TX); On-site; USD 70,000 - 90,000; Full time

Job summary

Goldman Sachs is seeking a Compliance Associate in Dallas to join the Compliance Testing Group. The role involves conducting investigative work, executing compliance tests, and collaborating with business management to enhance controls. Ideal candidates will have a Bachelor's degree and knowledge of financial regulations.

Qualifications

• Bachelor's degree required.
• Knowledge of financial products and regulations (e.g., FINRA, SEC).
• Strong analytical and communication skills.

Responsibilities

• Propose and execute testing methods for compliance.
• Gather data and document findings.
• Identify and escalate compliance risks.

Skills

Analytical skills

Communication

Time management

Integrity

Motivation

Intellectual curiosity

Education

Bachelor's Degree

Job description

Compliance, Compliance Testing Group, Associate - Dallas

Job Description

Compliance Division, Compliance Testing Group, Associate, Dallas

The Goldman Sachs Group, Inc. is a leading global investment banking, securities, and investment management firm that provides a wide range of financial services to a diverse client base, including corporations, financial institutions, governments, and individuals. Founded in 1869 and headquartered in New York, the firm maintains offices in major financial centers worldwide. We are committed to supporting our people professionally and personally, offering flexible workspaces, wellbeing programs, and resilience offerings to help them reach their goals.

About Compliance

Our division helps prevent, detect, and mitigate compliance, regulatory, and reputational risks across the firm, strengthening the firm's culture of compliance. Compliance functions as an independent control body, assessing risks, monitoring adherence to laws and regulations, designing controls and policies, conducting independent testing, and leading responses to regulatory inquiries. We value team members from diverse backgrounds such as law, accounting, political science, and criminal justice, who demonstrate sound judgment, curiosity, and adaptability.

Business Unit and Role Overview

The Compliance Testing Group (CTG) is seeking a self-motivated individual with energy, curiosity, and enthusiasm to conduct investigative work across various firm businesses. The main goal of CTG is to develop and execute detailed testing to evaluate compliance with regulations and firm policies, collaborating with Compliance and business management to identify risks and improve controls. Our global team includes members from diverse professional backgrounds and locations, including Dallas, New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong. The successful candidate will work closely with Compliance and business management.

Principal Responsibilities

• Propose testing methods and execute plans in collaboration with team leaders
• Gather data, perform analyses, and document findings
• Identify potential compliance, conduct, and reputational risks and escalate appropriately
• Manage multiple reviews simultaneously with different teams
• Communicate effectively with Compliance and senior management
• Collaborate with global colleagues to share insights and improve processes

Basic Qualifications

• Bachelor's Degree
• Knowledge of financial products, markets, and relevant laws and regulations (e.g., FINRA, SEC)
• Strong interview, presentation, written communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm

Preferred Qualifications

• Experience in compliance, auditing, testing, legal, or regulatory fields
• Background in financial services, law firms, accounting firms, or regulatory agencies
• Fluency in additional languages such as French, Portuguese, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese is a plus

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.