Goldman Sachs Compliance Private Wealth Management Capital 

United States, New York, New York 

691725468

HOW YOU WILL FULFILL YOUR POTENTIAL:

• Manage a 2 person team
• Provide advice to the business on live queries and/or transactions
• Conducting trading and suitability surveillance
• Providing Compliance input in product design and approvals
• Development and implementation of compliance-related policies and procedures
• Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
• Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
• Impact analysis and implementation of regulatory changes affecting the PWM business
• Develop and deliver training for business personnel
• Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee

BASIC QUALIFICATIONS:

• University degree and/or professional compliance / financial services qualification
• 5+ years’ compliance or other relevant financial services experience. Private Wealth Management / retail client experience preferred.
• Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
• People and team management experience
• Detailed knowledge of US regulatory environment and CFTC/FINRA/NFA/SEC regulations
• Experience of conducting trade surveillance or equivalent monitoring activity
• Good interpersonal skills and effective written/oral communication skills.
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
• Attention to detail
• Ability to handle multiple tasks and work under pressure
• Team player
• At a minimum, good proficiency in Microsoft Excel, Power Point and Word