About this opportunity
The Goldman Sachs Group lists this Compliance, Compliance Testing Group (CTG), Vice President, Dallas opportunity in dallas, Texas. Review the employer’s description below for duties, qualifications and application requirements.
Job description
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
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.
#J-18808-Ljbffr
Worksite address
dallas, TX, 75215, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.