Compliance – GBM Public-Marketing Materials Compliance – Vice President
| Company | Goldman Sachs |
|---|---|
| Location | Dallas, TX, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior, Expert or higher |
Requirements
- Bachelor’s degree: Advanced degree or experience in securities industry a plus
- 6+ years Compliance, Legal, Regulatory or Financial Services industry experience
- Reading/writing language proficiency skills for reviewing and commenting on marketing materials prepared in English
- Good drafting ability: Drafting will be primarily focused on providing comments on written material and drafting short policy/guideline documents and trainings – clarity and brevity is essential
- Must be a proactive team player with a strong sense of urgency and ability to get along with others
- Must be comfortable working with colleagues in different geographic regions and time zones
- Must work well under pressure
- Excellent multi-tasking abilities required
- Ability to implement solutions is critical
- Strong interpersonal, communication (live, phone, email), and analytical skills
- Must be comfortable addressing problems where there is no clear answer and making decisions based on incomplete information
- Should be detail oriented
- Must be comfortable issue-spotting
Responsibilities
- Review written materials for potential conflicts of interest, compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and data licensing issues, and other regulatory or reputational risks to the firm. (70% of daily tasks)
- Undertake surveillance of compliance with various written communications policies
- Work with Divisional Compliance and Legal to analyze rule changes and provide input on updating policies regarding written communications
- Liaise with Technology on system changes and enhancements
- Analyze surveillance results and data to produce management reports
- Create, update, and deliver training regarding applicable laws, regulations, policies and procedures, and methods and best practices for reviewing communications
- Identify potential targets for investigation and conduct associated surveillance
- Draft and maintain disclosures and risk factors to be used in marketing materials
- Participate in regulatory and internal investigations and audits
Preferred Qualifications
- Fluency in one or more of the following languages is a plus: German, Chinese (Mandarin), Spanish, or French