Wealth Management Compliance Associate — Dallas

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

Job summary

Goldman Sachs Wealth Management Compliance in Dallas is seeking an Associate to join the team. You'll monitor surveillance, assess suitability, and collaborate with WM, Legal, and Operations to ensure regulatory compliance.

Responsibilities include reviewing marketing materials, advising on regulations, and contributing to US WM and Global Compliance projects. Requires a Bachelor's degree and 3–5 years of relevant experience.

Qualifications

• Bachelor’s degree required.
• 3–5 years of relevant experience in financial compliance.
• Knowledge of U.S. regulatory requirements.
• Strong written and verbal communication.

Responsibilities

• Monitor and surveil compliance with regulations and internal controls.
• Assess product and transaction suitability for clients.
• Interact with WM, Legal, Compliance, and Operations daily.
• Review marketing materials for Wealth Management products.
• Advise WM teams on regulations, policies and client issues.
• Participate in US WM and Global Compliance projects.

Skills

Regulatory compliance

Financial industry experience

Interpersonal skills

Analytical skills

Risk assessment

Written/verbal communication

Self-motivation

Education

Bachelor's degree

Job description

Goldman Sachs Wealth Management Compliance in Dallas is seeking an Associate to join the team. You'll monitor surveillance, assess suitability, and collaborate with WM, Legal, and Operations to ensure regulatory compliance.

Responsibilities include reviewing marketing materials, advising on regulations, and contributing to US WM and Global Compliance projects. Requires a Bachelor's degree and 3–5 years of relevant experience.