- Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
- Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
- Interacting with the PWM business units, Divisional Compliance, Legal and Operations teams on a daily basis
- Reviewing marketing materials that are used to pitch products and services to clients
- Advising Private Wealth Management business units and teams on regulations, policies and client issues
- Participating in US PWM and Global Compliance projects and initiatives
- Bachelor's degree required
- A minimum of five years of relevant experience
- Have experience with legal, regulatory and compliance issues in the financial industry
- Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
- Work well under pressure and has a positive, hands-on, "can do" attitude
- Be able to devise and implement creative and innovative solutions
- Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
- Be a quick learner and 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
- Hold the Series 7, 63, 9 and 10 or be willing and able to pass exams in a reasonable period of time
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Compliance, Private Wealth Management Compliance, Associate - San Francisco, United States - Goldman Sachs
Description
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.
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.Job Summary & Responsibilities
Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm.
From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities.
Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This supports the growing Private Wealth Management Business units.
Private Wealth Management Compliance is seeking an Associate to join our team and be based out of the San Francisco office.
Basic Qualifications:
Skills and Characteristics:
An ideal candidate should:
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.
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 atWe're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process
Learn more:
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Salary Range
The expected base salary for this San Francisco, California, United States-based position is $85000-$ In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience.
A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.
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