Compliance, Financial Crime Compliance, Associate, Dallas
Goldman Sachs, Dallas, TX, United States
Role Overview
Global Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. The division operates as an independent control function and part of the firm’s second line of defense, assessing risk, monitoring for compliance with laws and regulations, designing and implementing controls, policies, procedures and training, conducting independent testing, investigating and monitoring for breaches, and leading responses to regulatory examinations, audits and inquiries. The team includes members from diverse backgrounds such as law, accounting, sales, and trading, and seeks individuals with sound judgment, curiosity, and the ability to adapt to a changing regulatory landscape.
Responsibilities
Conduct legal, regulatory and financial due diligence to assess reputational risk in transactions and business relationships.
Analyze reputational issues including FCPA/anti-bribery compliance, environmental/social responsibility concerns, geo-political risk, financial irregularities, litigation risk, controversial products/services, human rights issues, data privacy, etc.
Engage with clients across divisions and with control functions to support risk assessment and decision-making.
Identify and evaluate risk-relevant information from multiple sources (e.g., online media, regulatory lists, public filings, litigation records, research reports, various internet sources).
Instruct and liaise with external investigative consultants; evaluate reports; drive due diligence; coordinate with in-house lawyers, external counsel, compliance and business teams; liaise with internal and external legal counsel on risks warranting further due diligence.
Review and analyze independent due diligence reports on topics including regulatory compliance and internal controls.
Analyze risk-relevant portions of financial statements and public filings.
Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees.
Develop relevant industry/regional expertise and anticipate potential reputational risks.
Contribute to other special projects on an ad hoc basis.
Skills And Experience
1 to 4 years of legal/regulatory, compliance or related experience (financial, investigative, paralegal or research).
Risk assessment skills with experience in reputational, legal, regulatory, environmental and general compliance topics.
Strong technical proficiency and experience in online research and databases.
Excellent analytical and communication skills (oral and written).
General experience with the investment banking industry and knowledge of various investing and lending transactions.
Experience in ESG (Environmental, Social and Governance) risk is a plus.
Intellectual curiosity and interest in current events.
Team player with commercial judgment and ability to work in a fast-paced, high-pressure environment.
Discretion with highly confidential information.
Professional designations such as CPA, CFA, JD/attorney license, or CFE are a plus but not required.
Spanish language skills and/or Latin American research/due diligence experience are a plus but not required.
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Responsibilities
Conduct legal, regulatory and financial due diligence to assess reputational risk in transactions and business relationships.
Analyze reputational issues including FCPA/anti-bribery compliance, environmental/social responsibility concerns, geo-political risk, financial irregularities, litigation risk, controversial products/services, human rights issues, data privacy, etc.
Engage with clients across divisions and with control functions to support risk assessment and decision-making.
Identify and evaluate risk-relevant information from multiple sources (e.g., online media, regulatory lists, public filings, litigation records, research reports, various internet sources).
Instruct and liaise with external investigative consultants; evaluate reports; drive due diligence; coordinate with in-house lawyers, external counsel, compliance and business teams; liaise with internal and external legal counsel on risks warranting further due diligence.
Review and analyze independent due diligence reports on topics including regulatory compliance and internal controls.
Analyze risk-relevant portions of financial statements and public filings.
Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees.
Develop relevant industry/regional expertise and anticipate potential reputational risks.
Contribute to other special projects on an ad hoc basis.
Skills And Experience
1 to 4 years of legal/regulatory, compliance or related experience (financial, investigative, paralegal or research).
Risk assessment skills with experience in reputational, legal, regulatory, environmental and general compliance topics.
Strong technical proficiency and experience in online research and databases.
Excellent analytical and communication skills (oral and written).
General experience with the investment banking industry and knowledge of various investing and lending transactions.
Experience in ESG (Environmental, Social and Governance) risk is a plus.
Intellectual curiosity and interest in current events.
Team player with commercial judgment and ability to work in a fast-paced, high-pressure environment.
Discretion with highly confidential information.
Professional designations such as CPA, CFA, JD/attorney license, or CFE are a plus but not required.
Spanish language skills and/or Latin American research/due diligence experience are a plus but not required.
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