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Goldman Sachs Compliance Private Wealth Management Associate United States, New York, New York 925916703
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Global Compliance
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.
PWM Compliance is seeking an experienced Associate to join our team based in New York City. In addition to the above, responsibilities may include:
- Interacting with the Alternative Capital Markets group on a daily basis
- Having knowledge and understanding of different rules and regulations and how they impact the PWM business (e.g., SEC, FINRA)
- Reviewing marketing materials that are used to pitch alternative investment products and services to clients
- Assisting with firm risk assessment processes for the Alternative Capital Markets group
- Preparing supervisory meeting materials detailing key metrics and regulatory issues
- Developing and implementing policies, procedures, trainings, and best practices for PWM
Basic Qualifications:
- Undergraduate degree required
- 3-4 years of relevant experience preferable
- Strong knowledge of financial products, particularly regarding alternative investments
- Knowledge of US regulatory environment and SEC/FINRA regulations
- Proficiency with Microsoft Word, Excel, and PowerPoint
- Excellent time management, analytical, and communication skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
Preferred Qualifications:
- Graduate degree in law, business, or other relevant program
- Outstanding graduate school and undergraduate credentials
- At least three years of relevant post-undergraduate work experience, or, if holding a Masters, PhD, MBA, JD or equivalent, one to two years of relevant experience
Skills and Characteristics:
An ideal candidate should:
- Have the ability to quickly grasp complex concepts, including global business and regulatory matters
- Exercise strong judgement and decision-making in a collaborative consensus-driven environment
- Be interested in and willing to develop expertise in legal, regulatory and compliance issues in the financial industry
- Have strong project management skills and ability to see a task to completion
- Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
- Work well under pressure and have a positive, hands-on, “can do” attitude
- Be able to devise and implement creative and innovative solution
- Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
- Be a self-starter, with the ability to work effectively with minimal supervision
- Have the ability to multi-task and adapt to new situations and a dynamic work environment
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
© The Goldman Sachs Group, Inc., 2023. All rights reserved.
The expected base salary for this New York, New York, United States-based position is $85000-$140000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.
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