Compliance- Control, Finance and Operating (CF&O) Broker-Dealer Operations, Associate, Dallas

Davita Inc.; Dallas (TX); On-site; USD 80,000 - 120,000; Full time

Job summary

A leading compliance team in Dallas seeks a Compliance Officer to enhance regulatory adherence across Operations. The ideal candidate will leverage three or more years of experience in compliance to influence Operations functions while demonstrating sound judgment and excellent communication skills. Additional responsibilities include monitoring compliance, drafting policies, and managing investigations to ensure alignment with regulatory standards.

Benefits

Diversity and inclusion initiatives

Professional development opportunities

Qualifications

• At least 3 years of work experience in compliance or risk management.
• Strong knowledge of regulations and operational practices in the financial industry.
• Experience interacting with regulators is a plus.

Responsibilities

• Advise Operations on regulations and reputational risk.
• Monitor compliance with laws and perform investigations.
• Draft and implement compliance policies and procedures.

Skills

Clear communications skills

Analytical skills

Judgment and ethics

Team-oriented

Proficiency in technology

Job description

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

BUSINESS UNIT AND ROLE OVERVIEW - CF&O Compliance

Part of the Global Compliance Division, the firm's CF&O Compliance team is a global team with responsibility for providing compliance coverage to Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning & Management, Risk, Tax and Human Capital Management divisions. This includes:

• Conducting risk identification, measurement, and assessment


• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues


• Participating in firm responses to regulatory examinations, audits and inquiries


• Performing surveillance and investigations of business activities of the above-referenced Federation groups


• Testing the effectiveness of controls


• Writing policies and procedures


• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives

ROLE AND RESPONSIBILITIES AND QUALIFICATIONS

This role will focus on, but not be limited to, providing Compliance coverage for the Control, Finance and Operating divisions located in Dallas. In addition, this role will have an emphasis on broker-dealer Operations in the Americas region. This role has a diverse scope covering all Operations functions for GS Legal Entities globally.

A successful candidate will also participate in regional and global initiatives to enact the Global Compliance mandate.

To fulfil this role, you will:

• Advise, challenge and influence Operations functions about regulations, policies and reputational risk


• Analyze regulatory changes and enforcement actions to assess the impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirements


• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements


• Identify, investigate and manage compliance issues involving Operations functions


• Provide support and guidance to Operations functions in dealing with regulators


• Brief senior leadership on risks identified and ensure stakeholder engagement


• Conduct forensic reviews to monitor compliance with regulations and firm policies


• Input into compliance risk assessments to ensure effectiveness of the firms compliance program


• Draft and assist in the implementation of policies and procedures


• Develop and deliver communication and training


• Investigate and liaise with internal stakeholders in relation to conduct issues


• Recommend compliance testing work to be performed


• Provide support and guidance to Operations functions in managing information barriers


• Coordinate with the broader Federation Compliance team on initiatives and projects

QUALIFICATIONS AND SKILLS

A strong candidate for CF&O Compliance will satisfy some or all of the following criteria:

• At least 3 years of work experience as a compliance officer, a risk manager, or control function role


• Knowledge of operational practices in securities and derivatives markets


• Knowledge of regulations, practices and markets infrastructure in the Americas


• Understanding of the global regulatory environment


• Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

A strong candidate for CF&O Compliance will possess the following skills:

• Clear, concise communications skills; able to communicate with impact at senior levels


• Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager


• Sound judgment, ethics and integrity


• Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions


• Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks


• Team-oriented and supportive of others' success; comfortable representing a team work product to stakeholders


• Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
  

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

The Goldman Sachs Group, Inc., 2023. All rights reserved.

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.