Compliance, Asset Management Compliance - Policy, Vice President, Dallas

Job Description

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.

Asset Management Compliance (AM)

RESPONSIBILITIES AND QUALIFICATIONS

Asset Management ("AM") Compliance is seeking a compliance Vice President to join the AM Compliance team in Dallas, specifically to support our divisional compliance policy program.

AM Compliance provides daily advice to the AM business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements.

We are seeking a detail-oriented and experienced team member who will be responsible for helping to uplift our divisional compliance policies and procedures to an enhanced firmwide framework.

This role includes providing governance over our divisional compliance policy program, as well as substantive policy work (e.

g., rationalizing current policies, helping to develop / draft new policies, and revising pre-existing policies as needed to align with regulatory requirements).

The role requires excellent writing and project management skills, a strong understanding of applicable regulatory requirements, and the ability to communicate complex information clearly and concisely.

Principal Responsibilities :

• Collaborate with AM Compliance officers to help draft, rationalize, and update compliance policies and procedures outlining regulatory requirements and best practices
• Collaborate with subject matter experts to gather necessary information and ensure accuracy and relevance of content
• Proactively contribute and drive strategy to uplift our divisional compliance policies and procedures to an enhanced firmwide framework
• Provide governance over the AM Compliance divisional policy program, including with respect to prioritization of policy work, helping to ensure policy owners are timely updating documents, and reporting of management metrics
• Stay current with industry trends, legal developments and regulatory changes impacting Asset Management

Qualifications :

• Bachelor's degree required; JD preferred
• 4-8 years' experience in policy writing, or in a legal or compliance role in the financial services industry. In depth knowledge of regulatory requirements in asset management a plus
• Strong project management skills
• Excellent oral and written communication skills, including editing and proofreading
• Ability to communicate complex regulatory requirements clearly and concisely
• Strong research and analytical skills
• Detail-oriented and able to produce quality work product, even when working under tight timeframes
• Comfortable being independent and a self-starter
• Ability to decipher and navigate ambiguous situations with the aim of developing solutions
• Proficiency in MS Office, PowerPoint, and Excel

ABOUT GOLDMAN SACHS

At 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.

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