Compliance, Non-Prudential Reg Compliance, Associate - Dallas ID-19227
Job Description
Compliance, Non-Prudential Reg Compliance, Associate
Part of the Office of Regulatory Relations (“ORR”) Division, the firm’s Non-Prudential Regulator Team (“NPR”) is a dynamic team of professionals charged with interfacing with Non-Prudential regulators on regulatory examinations and inquiries. Led by an Americas Head in Dallas, the team has members in Bengaluru, Dallas, and New York.
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The NPR team is seeking a talented individual to join the firm as an Associate in the firm’s Dallas office, focusing on regulatory exams and inquiries relating to Goldman Sachs’ various U.S. businesses. The position will focus on topics such as potential market abuse and/or manipulation, regulatory reporting requirements, automated trading controls, short selling regulations, best execution requirements, and supervisory policies and procedures, to name a few.
Responsibilities
The NPR team for the Americas coordinates, on behalf of Goldman Sachs, responses to requests for information received by the firm from U.S. financial industry regulators, including the SEC, CFTC, FINRA and NFA. The team also periodically responds to requests for information from foreign regulators. The majority of requests handled by NPR seek to test and/or confirm Goldman Sachs’ compliance with the laws and regulations applicable to its many businesses.
As the liaison between the firm and its regulators on matters of regulatory compliance, NPR team members work closely with business, engineering, operations, risk, compliance and legal teams throughout the firm. In the course of their work, NPR team members, among other responsibilities: (i) research applicable rules and interpretive guidance, (ii) form and coordinate working groups of relevant firm personnel, (iii) interface with regulators regarding information requests and the firm’s responses, (iv) conduct informational interviews and gather responsive documentation, (v) prepare written responses to information requests, (vi) coordinate in-person meetings with regulators as appropriate, (vii) advise internal stakeholders on regulators’ expectations and prior firm interactions, (viii) manage a docket of multiple regulatory matters (both inquiries and exams), (ix) monitor the firm’s progress in completing undertakings made to regulators during the course of inquiries and exams, and (x) advise firm stakeholders on potential enhancements to firm processes and controls identified during the course of regulatory interactions.
An NPR Associate Must Have The Ability To
- Leverage strong communication and relationship-building skills;
- Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders;
- Grasp and keep abreast of relevant policies and procedures;
- Conduct skilled research and data gathering;
- Effectively and efficiently conduct business by video, phone and in-person meetings with both internal and external stakeholders;
- Organize and maintain large quantities of data and documentation in a dynamic environment;
- Be unfailingly detail-oriented, so as to consistently produce accurate work product;
- Work independently and exercise strong judgment when executing an assigned task;
- Multi-task and have the ability to manage and advance multiple projects simultaneously;
- Identify and effectively escalate potential issues to appropriate person(s);
- Meet tight deadlines and comfortably operate in the face of time constraints;
- Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded.
Basic Qualifications
- Bachelor’s degree;
- Proficiency with Microsoft Word, Excel and PowerPoint;
- Business-level fluency in English, both orally and in writing;
- Excellent time management, analytical and communication skills;
- Integrity, motivation, intellectual curiosity and enthusiasm;
- Familiarity with financial industry products and markets, as well as corresponding rules and regulations.
Preferred Qualifications
- Graduate degree in law, business, or other relevant program;
- Outstanding graduate school and undergraduate credentials;
- At least three years of relevant post-undergraduate work experience, or, if holding a Masters, PhD, MBA, JD or equivalent, one to two years of relevant experience;
- Prior experience involving interactions with financial industry regulators, particularly regulatory exams and inquiries.
