Compliance, RMD Compliance Officer, Analyst/Associate

  • Competitive
  • Irving, TX, États-Unis
  • CDI, Plein-temps
  • Goldman Sachs USA
  • 12 déc. 17 2017-12-12

Compliance, RMD Compliance Officer, Analyst/Associate

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.


As part of the global compliance team based in Irving, TX, the Compliance Officer will provide compliance support primarily to the Irving office, while working closely with global compliance officers on various global projects and policies and procedures. The role aims to support and facilitate our Realty Management Division (RMD) business to be conducted and supervised in compliance with applicable laws, regulations and firm policies. This role will also reinforce the firm's culture of compliance by: providing general compliance advice and support primarily for RMD; creating and updating of policies and procedure; performing monitoring/surveillance; reviewing marketing materials; conducting training, as well as managing advisory and project work

Principal Responsibilities:

  • Providing advice and support to business projects and issues requiring compliance input
  • Take part in compliance-led projects and represent RMD Compliance on Firmwide and cross regional projects and working groups
  • Reviewing and advising on activities with the perspective of looking for issues around Anti-money laundering and meeting regulations
  • Providing support for / responding to general compliance-related queries
  • Development and implementation of compliance-related policies and procedures
  • Impact analysis and implementation of regulatory changes affecting the RMD business as well as continuously monitor the business' risk and control assessment
  • Trade surveillance and compliance monitoring of business activity
  • Develop/deliver training for business personnel and tracking attendance
  • Liaise with Legal department to identify and interpret client and regulatory requirements
  • Responding to Client complaints by investigating, processing and coordinating responses with Litigation team where applicable.

Basic Qualifications:
  • University degree and/or professional compliance / financial services qualification
  • Compliance or other relevant financial services experience. Real Estate/Mortgage/Hospitality business compliance experience preferred.
  • Knowledge of SEC regulatory environment and Registered Investment Advisor rules preferred
  • Working knowledge of general real estate and mortgage products
  • Experience of conducting trade/deal surveillance or equivalent monitoring activity
  • Good interpersonal skills and effective written/oral communication skills.
  • Strong analytical and problem solving skills; Ability to exercise sound & balanced judgment
  • Attention to detail and strong follow-up skills
  • Ability to handle multiple tasks and work under pressure
  • Ability to work both independently and to keep management in other locations up to date, and to work as part of a global team to drive solutions to complex issues
  • A team player who is able forge strong relationships with colleagues and clients
  • Strong proficiency in Microsoft Excel, Power Point and Word a plus

ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

©The Goldman Sachs Group, Inc., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.