Compliance, Compliance Testing Group (CTG), Vice President, Dallas

The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world. We commit people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Our people are our greatest asset – we say it often and with good reason. It is only with the determination and dedication of our people that we can serve our clients, generate long-term value for our shareholders and contribute to the broader public. We take pride in supporting each colleague both professionally and personally. From collaborative workspaces and ergonomic services to wellbeing and resilience offerings, we offer our people the flexibility and support they need to reach their goals in and outside the office.

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, political science, and criminal justice. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

BUSINESS UNIT AND ROLE OVERVIEW

Compliance Testing Group (“CTG”) is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions.  The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate.  CTG’s global team (with locations in Dallas, New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, compliance professionals, lawyers, and traders).  The individual will work closely with Compliance and business management.

PRINCIPAL RESPONSIBILITIES

• Propose methods of testing and execute plans discussed and agreed with a team leader 
• Gather data, perform analyses, and document results 
• Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals 
• Multi-task work on several different reviews with different individuals at the same time 
• Leverage strong communication skills to interact with Compliance and business senior management 
• Team with colleagues around the globe to share findings and refine processes

BASIC QUALIFICATIONS

• Bachelor’s Degree 
• Broad knowledge of financial products and markets, as well as laws, rules and regulations, such as FINRA and SEC rules
• Excellent written and verbal communication skills, with the ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, written communication, time management, and analytical skills 
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Knowledge of Microsoft Word and Excel; additional knowledge of Alteryx is useful

PREFERRED QUALIFICATIONS

• Compliance, auditing, testing (i.e., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
• Familiarity with Business Intelligence and AI tools
• Fluency in French, Portuguese, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus