Compliance, Wealth Management Compliance - Associate - Dallas - Goldman Sachs : Job Details

Compliance, Wealth Management Compliance - Associate - Dallas

Join to apply for the Compliance, Wealth Management Compliance - Associate - Dallas role at Goldman Sachs

Compliance, Wealth Management Compliance - Associate - Dallas

Join to apply for the Compliance, Wealth Management Compliance - Associate - Dallas role at Goldman Sachs

Get AI-powered advice on this job and more exclusive features.

GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.

Job Description GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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. Job Summary & Responsibilities Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This supports the Wealth Management Business. Responsibilities Wealth Management Compliance is seeking an Associate to join our team and be based out of the Dallas. As part of this team, the primary responsibilities will include:

• Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
• Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
• Interacting with the WM business, Divisional Compliance, Legal and Operations teams on a daily basis
• Reviewing marketing materials that are used to pitch Wealth Management products and services to clients
• Advising Wealth Management teams on regulations, policies and client issues
• Participating in US WM and Global Compliance projects and initiatives

Basic Qualifications

• Bachelors degree required
• Three to five years of relevant experience

Skills And Characteristics

• Have experience with legal, regulatory and compliance issues in the financial industry
• Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
• Work well under pressure and has a positive, hands-on, can do attitude
• Be able to devise and implement creative and innovative solutions
• Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
• Be a quick learner and self-starter, with the ability to work effectively with minimal supervision
• Have the ability to multi-task and adapt to new situations and a dynamic work environment
• Hold the Series 7, 9 and 10 or be willing and/or able to pass exams in a reasonable period of time

Seniority level

• Seniority level Associate

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

Referrals increase your chances of interviewing at Goldman Sachs by 2x

Get notified about new Wealth Manager jobs in Dallas, TX.

Dallas, TX $40,000.00-$100,000.00 2 months ago

Asset & Wealth Management, Private Wealth Management, Goldman Sachs Family Office, Wealth Strategist, Vice President - Dallas or Houston

Dallas, TX $65,000.00-$78,000.00 2 weeks ago

Dallas, TX $28,000.00-$125,000.00 2 days ago

Relationship Manager I - Business Banking Asset & Wealth Management- Operations Private Wealth Management Client Onboarding Approver Vice President- Dallas Asset & Wealth Management, Alternatives Capital Formation, Investor Relations, Vice President - Dallas Relationship Manager I - Business Banking

Plano, TX $69,920.00-$133,620.00 3 weeks ago

Commercial Relationship Manager - Middle Market Banking

Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr