Goldman Sachs Bank AG
Compliance, Federation Compliance, Vice President, Dallas Dallas · · Vice Pres
Goldman Sachs Bank AG, Dallas, Texas, United States, 75215
Opportunity OverviewCorporate Title:
Vice PresidentOffice Location(s):
DallasJob Function:
Business Unit ComplianceDivision:
Compliance DivisionGlobal ComplianceOur 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 - Federation CompliancePart of the Global Compliance Division, the firm’s Federation Compliance team is a global team with responsibility for providing compliance coverage to Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning & Management, Risk, Tax and Human Capital Management divisions. This includes:Conducting risk identification, measurement, and assessmentMonitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issuesParticipating in firm responses to regulatory examinations, audits and inquiriesPerforming surveillance and investigations of business activities of the above-referenced Federation groupsTesting the effectiveness of controlsWriting policies and proceduresCommunicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiativesRole and ResponsibilitiesThis role will focus on, but not be limited to, providing Compliance coverage for the Control, Finance and Operating divisions located in Dallas. In addition, this role will have an emphasis on non-financial regulatory reporting requirements in the Americas region. This role has a diverse scope covering all assets classes, for multiple reporting obligations for GS Legal Entities globally.A successful candidate will also participate in region-wide, and global initiatives to enact the Global Compliance mandate.To fulfil this role, you will:Advise, challenge and influence Operations functions about regulations, policies and reputational riskAnalyze regulatory changes and enforcement actions to assess the impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirementsSupport the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirementsIdentify, investigate and manage compliance issues involving Operations functionsProvide support and guidance to Operations functions in dealing with regulatorsBrief senior leadership on risks identified and ensure stakeholder engagementConduct forensic reviews to monitor compliance with regulations and firm policiesInput into compliance risk assessments to ensure effectiveness of the firms compliance programDraft and assist in the implementation of policies and proceduresDevelop and deliver communication and trainingInvestigate and liaise with internal stakeholders in relation to conduct issuesRecommend compliance testing work to be performedProvide support and guidance to Operations functions in managing information barriersCoordinate with the broader Federation Compliance team on initiatives and projectsQualifications and SkillsA strong candidate for Federation Compliance will satisfy some or all of the following criteria:At least 5 years of work experience including 3 years as a compliance officer or in a risk management or control function roleKnowledge of operational practices in securities and derivatives marketsKnowledge of regulations, practices and markets infrastructure in the AmericasUnderstanding of the global regulatory environmentExperience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiriesA strong candidate for Federation Compliance will possess the following skills:Clear, concise communications skills; able to communicate with impact at senior levelsAble and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk managerSound judgment, ethics and integrityFast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutionsProficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risksTeam-oriented and supportive of others’ success; comfortable representing a team work product to stakeholdersWell organized with the ability to manage both longer term projects and daily, often time-sensitive, escalationsAbout Goldman SachsAt Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.htmlGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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Vice PresidentOffice Location(s):
DallasJob Function:
Business Unit ComplianceDivision:
Compliance DivisionGlobal ComplianceOur 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 - Federation CompliancePart of the Global Compliance Division, the firm’s Federation Compliance team is a global team with responsibility for providing compliance coverage to Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning & Management, Risk, Tax and Human Capital Management divisions. This includes:Conducting risk identification, measurement, and assessmentMonitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issuesParticipating in firm responses to regulatory examinations, audits and inquiriesPerforming surveillance and investigations of business activities of the above-referenced Federation groupsTesting the effectiveness of controlsWriting policies and proceduresCommunicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiativesRole and ResponsibilitiesThis role will focus on, but not be limited to, providing Compliance coverage for the Control, Finance and Operating divisions located in Dallas. In addition, this role will have an emphasis on non-financial regulatory reporting requirements in the Americas region. This role has a diverse scope covering all assets classes, for multiple reporting obligations for GS Legal Entities globally.A successful candidate will also participate in region-wide, and global initiatives to enact the Global Compliance mandate.To fulfil this role, you will:Advise, challenge and influence Operations functions about regulations, policies and reputational riskAnalyze regulatory changes and enforcement actions to assess the impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirementsSupport the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirementsIdentify, investigate and manage compliance issues involving Operations functionsProvide support and guidance to Operations functions in dealing with regulatorsBrief senior leadership on risks identified and ensure stakeholder engagementConduct forensic reviews to monitor compliance with regulations and firm policiesInput into compliance risk assessments to ensure effectiveness of the firms compliance programDraft and assist in the implementation of policies and proceduresDevelop and deliver communication and trainingInvestigate and liaise with internal stakeholders in relation to conduct issuesRecommend compliance testing work to be performedProvide support and guidance to Operations functions in managing information barriersCoordinate with the broader Federation Compliance team on initiatives and projectsQualifications and SkillsA strong candidate for Federation Compliance will satisfy some or all of the following criteria:At least 5 years of work experience including 3 years as a compliance officer or in a risk management or control function roleKnowledge of operational practices in securities and derivatives marketsKnowledge of regulations, practices and markets infrastructure in the AmericasUnderstanding of the global regulatory environmentExperience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiriesA strong candidate for Federation Compliance will possess the following skills:Clear, concise communications skills; able to communicate with impact at senior levelsAble and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk managerSound judgment, ethics and integrityFast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutionsProficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risksTeam-oriented and supportive of others’ success; comfortable representing a team work product to stakeholdersWell organized with the ability to manage both longer term projects and daily, often time-sensitive, escalationsAbout Goldman SachsAt Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.htmlGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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