Business Unit Compliance

Global 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, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

This position sits in the divisional compliance team that covers the Asset Management (“AM”) business within Goldman Sachs’ Asset & Wealth Management (“AWM”). Asset Management delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals.

AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.

Asset Management (“AM”) Compliance is seeking a compliance Associate to join the US AM Sales and Marketing Compliance team in Dallas. The role will provide day-to-day compliance advice and oversight relating to the development, review and use of marketing materials and communications for AM products, services and investment capabilities, including applicable regulatory requirements and reputational risk considerations. The individual will partner with AM’s Marketing teams and work closely with regional Compliance, Legal, Operations, Engineering, Internal Audit and other control functions.

This is a highly collaborative role that requires sound judgment, strong writing and communication skills, and the ability to translate regulatory requirements into practical guidance. The ideal candidate will have a strong interest in regulatory compliance and in understanding AM’s business model, products, marketing channels and content-development processes.

• Provide compliance oversight and practical guidance to AM Marketing personnel regarding the development, review, approval and use of marketing materials and communications.
• Review and advise on marketing materials and other content used to describe or promote AM products, services and investment capabilities.
• Analyze and stay current on laws, rules, regulations and regulatory expectations applicable to investment adviser advertising, fund marketing and related communications in the United States and abroad.
• Advise on new marketing channels, campaigns, content formats and other business initiatives, including the development of practical compliance controls and escalation processes.
• Develop, draft and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, applicable regulations and best practices for marketing activities.
• Create and deliver compliance training for relevant stakeholders.
• Perform compliance monitoring and…