Senior Associate / Vice President

As part of the global compliance team based in Irving, TX, the Senior Associate / Vice President of Licensing Compliance will provide support and work closely with business partners across the firm to facilitate financial service activities by various GS entities in compliance with applicable laws, regulations, and firm policies. This leadership role will reinforce the firm’s culture of compliance by providing licensing compliance advice in support of different business activities, performing monitoring/surveillance, conducting and reviewing state licensing legal research, managing and responding to regulatory inquiries or examinations, and other compliance project work as needed. This person leads and manages a team responsible for the procurement and ongoing maintenance of licenses, registrations, and exemptions for GS entities.


  • Researches requirements to obtain state licenses, as necessary, based on changes in business activities or applicable licensing statutes and regulations
  • Preparation of state license applications, management of license renewals, and coordination and timely filing of regulatory reporting
  • Manages all areas of state audits/exams, including working with various stakeholders across the firm to ensure exam documents and data requests are delivered in a timely and accurate manner.
  • Perform expert legal research and data gathering on regulatory matters that is thorough, accurate and timely for state licensing and other compliance requirements
  • Special projects and initiatives based upon business needs

Basic Qualifications• University degree and professional compliance in financial services experience

  • Real Estate/Mortgage/Consumer Lending compliance experience preferred
  • Proficient with NMLS strongly preferred
  • Working knowledge of general real estate, mortgage products, and consumer lending
  • Excellent ability to analyze and interpret legal and statutory materials as well as state and federal regulations
  • Ability to handle and effectively prioritize multiple assignments in critical situations and successfully meet deadlines
  • Strong communication skills (verbal and written); Must communicate effectively with other departments of the firm and regulatory agencies
  • Outstanding initiative, attention to detail, and strong organizational and time management skills required
  • Strong analytical and problem solving skills
  • Develop and work for effective improvement of licensing processes to achieve maximum efficiency, accuracy and data integrity
  • Ability to work both independently and as a team player able to forge strong relationships with colleagues and clients
  • Proficient in Microsoft Office Suite and Adobe Pro

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.

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