Compliance, Asset Management (“AM”) Compliance, Associate, Dallas

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.

RESPONSIBILITIES AND QUALIFICATIONS

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.

Principal Responsibilities:

• 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 testing, including reviews of surveillances and targeted or forensic reviews, to assess marketing compliance risks and identify potential breaches or control enhancements.

• Coordinate with business and control-function stakeholders to address regulatory developments, compliance issues and remediation activities relating to marketing.

• Assist with regulatory examinations, audits and inquiries, including gathering information, preparing responses and tracking follow-up items.

Qualifications:

• Bachelor’s degree required; JD or MBA a plus.

• 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience.

• Experience advising on advertising or marketing compliance matters within asset management or another regulated financial services business preferred.

• Working knowledge of the regulatory framework applicable to investment advisers, registered investment companies, broker-dealers and the marketing of investment products preferred.

• Excellent written and oral communication skills, sound judgment, strong organizational skills and attention to detail.

• Strong project-management and relationship-building skills, with the ability to collaborate effectively across business, regional and control-function teams.

• Ability to analyze complex regulatory requirements, communicate them clearly and develop practical, risk-based solutions.

• Ability to manage multiple priorities and work effectively in a fast-paced environment.

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Holiday & Vacation Policies

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.