Compliance, Federation Compliance, Vice President, Dallas Dallas - - Vice President
Company: Goldman Sachs Bank AG
Location: Dallas
Posted on: October 29, 2024
Job Description:
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
assessment
- Monitoring for compliance with laws, rules, regulations and
policies, including the identification and investigation of conduct
related issues
- Participating in firm responses to regulatory examinations,
audits and inquiries
- Performing surveillance and investigations of business
activities of the above-referenced Federation groups
- Testing the effectiveness of controls
- Writing policies and procedures
- Communicating 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 risk
- Analyze 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 requirements
- Support the development and analysis of related policies,
standards, and processes to ensure compliance with applicable
regulations and requirements
- Identify, investigate and manage compliance issues involving
Operations functions
- Provide support and guidance to Operations functions in dealing
with regulators
- Brief senior leadership on risks identified and ensure
stakeholder engagement
- Conduct forensic reviews to monitor compliance with regulations
and firm policies
- Input into compliance risk assessments to ensure effectiveness
of the firms compliance program
- Draft and assist in the implementation of policies and
procedures
- Develop and deliver communication and training
- Investigate and liaise with internal stakeholders in relation
to conduct issues
- Recommend compliance testing work to be performed
- Provide support and guidance to Operations functions in
managing information barriers
- Coordinate 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
role
- Knowledge of operational practices in securities and
derivatives markets
- Knowledge of regulations, practices and markets infrastructure
in the Americas
- Understanding of the global regulatory environment
- Experience 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 levels
- Able and willing to challenge; comfortable with inter-personal
conflict; able to build strong professional rapport with
stakeholders while maintaining independence as a risk manager
- Sound judgment, ethics and integrity
- Fast learner; able to adapt to business and regulatory changes;
interest to challenge status quo and find new solutions
- Proficient in using technology; able to analyze data sets and
summarize findings; comfortable learning new technologies, both as
a user and to identify risks
- Team-oriented and supportive of others' success; comfortable
representing a team work product to stakeholders
- Well 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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Keywords: Goldman Sachs Bank AG, Garland , Compliance, Federation Compliance, Vice President, Dallas Dallas - - Vice President, Accounting, Auditing , Dallas, Texas
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