Compliance-Dallas-Associate, Regulatory Compliance–3767924

Job Duties: Associate Regulatory Compliance with Goldman Sachs & Co. LLC in Dallas Texas. Multiple Openings. Help execute the Compliance Testing Groups (CTG) mandate to investigate whether activities and practices are in compliance with policies and regulations and the firms compliance control infrastructure. Propose methods of testing and execute test plans (reviews) that have been discussed and agreed with a team manager. This includes among other things gathering data performing analyses and documenting results. Handle multiple reviews concurrently including driving the reviews through each phase of the review life cycle such as planning scoping testing socialization of results tracking finding remediations (if applicable). Coordinate and lead frequent interactions with senior members of the firm (including in Compliance the firms businesses and Engineering) to address review follow-ups socialize findings and track and review finding remediations. Identify potential compliance conduct and reputational issues such as control gaps/deficiencies and/or employee misconduct that presents compliance and/or regulatory risk and effectively escalate to appropriate individuals. Work with CTGs global team to share findings and refine CTGs review processes.

Job Requirements: Bachelors degree (U.S. or foreign equivalent) Finance Economics Accounting Law Business Administration or related field and three (3) years of experience in the job offered or in a related role OR Masters degree (U.S. or foreign equivalent) Finance Economics Accounting Law Business Administration or related field and two (2) years of experience in the job offered or in a related role. Prior experience must include three (3) years of experience with a Bachelors degree OR two (2) years of experience with a Masters degree with the following:general knowledge of financial products markets and laws and regulations such asFINRA rules SEC rules and the Investment Company Act of 1940.; basic understanding of the products offered by the Equities Foreign Exchange Interest Rates Commodities or CreditMarkets trading desks; basic knowledge of products the Global Markets business and sales practices such as sales and trading product controllers compliance legal regulatory audit orrisk management functions; conduct interviews with stakeholders including process owners and supervisors and leverage analytical skills to identify gaps/deficiencies in key controlsand/or employee misconduct that may present compliance or regulatory risk; orally present findings identified during CTG reviews to senior stakeholders in Compliance and the firmsbusinesses including clearly articulating the fact-patterns risk(s) and potential next steps for remediation; and draft written findings that clearly articulate the fact-pattern and associated risks and summarize the expected next steps for remediation.

The Goldman Sachs Group Inc. 2026. All rights reserved. Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race color religion sex national origin age veteran status disability or any other characteristic protected by applicable law.