Compliance, Core Compliance- Issue Management, Associate - Dallas

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

Job summary

A leading financial services firm seeks a compliance professional to enhance its compliance program. The role involves coordinating issue management processes, collaborating with various teams, and ensuring adherence to regulatory standards. Ideal candidates will have a strong background in compliance, excellent communication skills, and the ability to manage relationships with senior stakeholders.

Qualifications

• 4+ years of experience in compliance or risk management.
• Strong understanding of compliance mandates and operational risk frameworks.
• Detail-oriented with the ability to produce quality work under time pressure.

Responsibilities

• Coordinate ongoing Issue Management processes.
• Develop and implement monitoring for controls.
• Establish metrics and reporting for senior management.

Skills

Analytical

Problem-solving

Critical thinking

Project management

Reporting

Communication

Relationship-building

Education

Bachelor's degree

Tools

PowerPoint

Excel

Job description

Job Description

GLOBAL COMPLIANCE

Our division prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm. We aim to strengthen the firm's culture of compliance through the enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses risks, monitors compliance with laws and regulations, designs controls and policies, conducts testing, investigates breaches, and leads responses to regulatory inquiries. We seek individuals with sound judgment, curiosity, and adaptability to a changing regulatory landscape.

RESPONSIBILITIES AND QUALIFICATIONS

The Core Compliance Team delivers robust compliance risk management aligned with regulator expectations. We seek a team member to advance our compliance program by collaborating with first- and second-line teams, including Engineering, Operational Risk, the business, and Compliance globally. The ideal candidate demonstrates strategic thinking, comfort with senior interactions, and leadership in transformation initiatives.

We value a visionary yet executor mindset, capable of collaborating, navigating, and problem-solving across teams.

Principal Responsibilities:

1. Coordinate ongoing Issue Management processes to ensure compliance with firmwide requirements.
2. Partner with divisional leads to identify, log, and mitigate risks through Corrective Action plans.
3. Develop and implement monitoring to verify controls within the issue management process.
4. Review and challenge issues for closure.
5. Assist in developing Lessons Learned processes and analyses.
6. Establish metrics and reporting for senior management.
7. Support issue management tooling and reporting queries.

Qualifications:

• 4+ years of experience in compliance or risk management within financial services or consulting.
• Bachelor's degree.
• Experience with issue management and internal control frameworks.
• Knowledge of quality assurance or second line of defense review processes.
• Strong understanding of compliance mandates and operational risk frameworks.
• Excellent reporting skills.
• Analytical, problem-solving, critical thinking, and project management skills with a proven track record.
• Strong communication and relationship-building skills, especially with senior stakeholders.
• Detail-oriented with the ability to produce quality work under time pressure.
• Ability to work independently with sound judgment.
• Advanced skills in PowerPoint and Excel.

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