Compliance-The Core Compliance, Associate, Dallas Dallas · · Associate

Goldman Sachs Bank AG; Dallas (TX); On-site; USD 110,000 - 160,000; Full time

Job summary

Goldman Sachs in Dallas seeks an experienced Compliance Associate to support The Core Compliance functions. You will advise on regulations, leverage data analytics, and translate complex rules into practical guidance for the Controllers, Tax, and Operations groups.

The role requires 3+ years in compliance or risk within a US broker-dealer or financial institution, with knowledge of SEC, FINRA, CFTC, and NFA rules.

Qualifications

• 3+ years of compliance, risk management, or related control function within a US broker-dealer or financial institution.
• Knowledge of securities and derivatives markets and US regulatory frameworks (SEC, FINRA, CFTC, NFA).
• Ability to analyze regulations, translate into guidance, and communicate to senior leaders.

Responsibilities

• Advise and influence The Core divisions on regulations, policies, and reputational risk.
• Leverage data analytics tools to identify patterns and generate actionable insights.
• Analyze regulatory changes and enforcement actions for impact on The Core.
• Draft and implement policies, standards, and processes to ensure regulatory compliance.
• Investigate and manage compliance issues involving The Core functions.
• Provide support to regulators and present findings to senior leadership.
• Conduct forensic reviews and contribute to compliance risk assessments.
• Develop and deliver training and communications for The Core functions.

Skills

Regulatory knowledge

Data analytics

SQL

Tableau

Alteryx

Communication

Independence

Education

Bachelor’s degree in related field

Tools

Tableau

Alteryx

Excel

CRM Systems

Job description

Compliance - The Core Compliance, Associate, Dallas location_on Dallas, TX, United States

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

Part of the Global Compliance Division, The Core Compliance is a global team responsible for providing compliance coverage to “The Core” business segments—the firm’s essential control, infrastructure, and support functions. This includes Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning and Management, Risk, Tax, Internal Audit, Legal, Human Capital Management, and Operations groups embedded within revenue divisions. At the intersection of financial markets, regulatory integrity, and cutting‑edge technology, our Compliance team plays a critical role in protecting the firm, its clients, and the broader financial system. We fulfill this mission by:

• Proactively identifying and assessing compliance risks
• 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‑referred divisions
• Testing the effectiveness of controls
• Writing policies and procedures
• Translating complex regulations into clear, actionable guidance

Role and Responsibilities

This role will focus on providing Compliance coverage for the Controllers and Tax divisions, as well as Operations groups embedded within revenue divisions located in Dallas. A successful candidate will also participate in regional and global initiatives that support the Global Compliance mandate.

Here is what you will own and drive:

• Advise, challenge, and influence The Core divisions regarding regulations, policies, and reputational risk
• Leverage data analytics tools and compliance technology platforms to identify patterns and generate actionable insights
• Analyze regulatory changes and enforcement actions to assess the impact on The Core, and support work to ensure the business can meet 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 The Core functions
• Provide support and guidance to The Core functions when dealing with regulators
• Present your findings to senior leaders and help shape firm‑wide decisions
• Conduct forensic reviews to monitor compliance with regulations and firm policies
• Contribute to compliance risk assessments to support the effectiveness of the firm’s 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
• Coordinate with the broader The Core Compliance team on initiatives and projects
• 3+ years of relevant experience in compliance, risk management, legal, regulatory affairs, or a related control function within a US broker‑dealer or financial institution
• Knowledge of operational practices in securities and derivatives markets
• Knowledge of regulations, practices, and market infrastructure in the Americas
• Knowledge of non‑financial regulatory reporting, including Blue Sheets, Consolidated Audit Trail, Large Option Position Reporting, Short Interest Reporting, and Swap Dealer Reporting
• Familiarity with SEC, FINRA, CFTC, and NFA regulations
• Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

Qualifications and Skills

A strong candidate for The Core Compliance will satisfy some or all of the following criteria:

• Communication: Clear, concise written and verbal communication skills; ability to present findings and influence decisions at senior leadership levels.
• Professional Independence: Ability and willingness to challenge the status quo; comfortable managing interpersonal conflict and building strong rapport with stakeholders while maintaining independence as a risk manager.
• Analytical and Tech‑Savvy: Proficient in using technology to analyze large datasets and summarize findings; familiarity with data tools such as SQL, Tableau, Alteryx is a plus.
• Adaptability: A fast learner who can adapt to rapid business and regulatory changes.
• Execution & Organization: Highly organized with the ability to manage long‑term projects alongside time‑sensitive, daily escalations.
• Collaboration: Team‑oriented mindset with a strong commitment to collective success.

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.

Benefits at Goldman Sachs

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short‑term disability, long‑term disability, life, accidental death, labor accident and business travel accident insurance.

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state‑of‑the‑art on‑site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on‑site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre‑approved amount).

Child Care & Family Care

We offer on‑site child care centers that provide full‑time and emergency back‑up care, and mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.