- Providing Compliance input in product design and approvals
- Conducting trading and suitability surveillance
- Providing Compliance representation in Divisional Committees, such as Order Execution Review Committee
- Managing products and suitability related projects
- Providing advice and support to business projects and issues requiring compliance input
- Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
- Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
- Reviewing and approving client account and trade activity from a suitability perspective
- 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 PWM business
- Develop and deliver training for business personnel
- University degree and/or professional compliance / financial services qualification
- 3-5 years compliance or other relevant financial services experience. Private wealth management / product compliance experience preferred
- Detailed Knowledge of US regulatory environment
- Any knowledge of international regulatory regimes an advantage
- Ability to handle multiple tasks and work under pressure
- Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
- Strong 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
-
Regulatory Compliance Manager
1 week ago
Circle New York, United StatesCircle is a financial technology company at the epicenter of the emerging internet of money, where value can finally travel like other digital data — globally, nearly instantly and less expensively than legacy settlement systems. This ground-breaking new internet layer opens up p ...
-
Wealth Management Compliance Specialist
6 days ago
EF Hutton New York, United States**The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...
-
Cyber Security Compliance Manager
1 week ago
Intersec New York, United States**Responsibilities**: · - Conduct risk assessments to identify potential threats and vulnerabilities to the organization. · - Develop and implement risk management strategies and policies to mitigate identified risks. · - Monitor and evaluate risk exposure across various departme ...
-
Governance, Risk and Compliance Manager
2 days ago
Quantum Solutions New York, United States**ABOUT**: · Digital Workplace Governance, Risk and Compliance Team is responsible embedding Governance, Risk & Compliance program/processes into the Digital Workplace operating model. · **RESPONSIBILITIES**: · Work with the team to strategize and create meaningful metrics design ...
-
Mwbe Contract Compliance Monitoring Manager
6 days ago
Creative Form Development, LLC New York, United States**About Us**: · Creative Form Development, LLC (CFD) is a minority women-owned and operated leading provider of comprehensive construction management, project management, project controls, QA/QC, owner's representative, and general construction services in the public and private ...
-
Manager-compliance, Small Business Lending
2 days ago
Amex New York, United States**You Lead the Way. We've Got Your Back.** · With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, ...
-
Grants and Compliance Manager
6 days ago
Ascend Public Charter Schools Brooklyn, United StatesOverview: · About Ascend · Ascend is the largest Brooklyn-based public charter school serving nearly 6,000 K-12 students in 16 schools. We exist to serve every student - to help them embody their inherent excellence by providing rich, joyful learning experiences that unlock a lif ...
-
Cyber Risk and Compliance Manager
2 days ago
Exiger Jersey City, United States**What You'll Do**: · - Manage risk assessments, validation testing, compliance reviews, and audits in accordance with NIST standards. · - Maintain and monitor the central repository for audit evidence and risk findings. · - Collaborate with process owners, external auditors, and ...
-
Compliance & Op Risk Manager - Eq/futures
6 days ago
Bank of America New York, United StatesAt Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. · One of the keys t ...
-
Infinity Systems Empire, United StatesThe company ADMIRAL Entertainment Holding Germany GmbH is currently offering this job in Düsseldorf. If you are currently looking for a job in the field of administration, you should check out the details on the company's website. There you will find detailed information about th ...
-
Compliance Manager
2 days ago
BP Energy Church Street, United StatesEntity: · Strategy, Sustainability & Ventures · Job Family Group: · Ethics & Compliance Group · Job Description: · About us · Our purpose is to bring together people, energy and markets to power and navigate a changing world. In a time of constant change and possibility we nee ...
-
Compliance Manager
5 days ago
Metropolitan Transportation Authority New York, United StatesPosition at MTA Headquarters · JOB TITLE: Compliance Manager · SALARY RANGE: $92,700 - $104,700 · HAY POINTS: 519 · DEPT/DIV: MTA Corporate Compliance · SUPERVISOR: Agency Chief Compliance Officer · LOCATION: 2 Broadway · HOURS OF WORK: 9:00 AM - 5:30 PM · SUMMARY: · The Complian ...
-
Compliance Manager
5 days ago
Prime Financial Technologies New York, United StatesAbout Prime · Prime Financial Technologies is a software company with a mission to accelerate small businesses. At Prime, we harness advanced data science in credit decisioning to simplify and accelerate credit distribution to small and medium-sized businesses. Operating at the c ...
-
Clinity Talent Brooklyn, United States**SUMMARY**: · Detect and respond to sexual abuse and sexual harassment of children in an Unaccompanied Minor Program. · **DUTIES**: · - Collaborate with management about risk, reporting, policy and procedure · - Review incidents and reports and develop corrective action plans · ...
-
Compliance Manager
1 week ago
Rose International New York, United StatesDate Posted: 05/01/2024 · Hiring Organization: Rose International · Position Number: 463281 · Job Title: Compliance Manager · Job Location: New York, NY, USA, 10001 · Work Model: Onsite · Employment Type: Temporary · Estimated Duration (In months): 7 · Min Hourly Rate($): ...
-
Compliance Manager
5 days ago
US Tech Solutions New York, United StatesJob Title: Compliance Manager II · Location: New York NY Onsite · Duration: 6 Months Contract · Pay Range: $60 - $65 an hour on w2 without benefits. · Job Description: · Summary: · The Compliance Manager will be the first point of contact for ethics and compliance matters for th ...
-
Compliance Manager
1 week ago
Elevance Health New York, United States· Compliance Manager · Location: Must be within a 50 mile radius of a Pulse Point location. · This position will take part in Elevance Health's hybrid workforce strategy which includes virtual work and 1-2 days in office per week. · The Compliance Manager is responsible for mana ...
-
Compliance Manager
1 week ago
MDG Design and Construction New York, United StatesJob DescriptionJob Description · POSITION: Manager, Labor Field Compliance · WORK SCHEDULE: · Monday through Friday · WORK LOCATION: · (Williamsburg) Brooklyn, NY · PAY RANGE: · $67,000 - $100,000 depending on experience. · BENEFITS: · Paid Time Off · 8 Paid Holidays · ...
-
Compliance Manager
1 week ago
Rose International New York, United StatesDate Posted: 05/01/2024 · Hiring Organization: Rose International · Position Number: 463281 · Job Title: Compliance Manager · Job Location: New York, NY, USA, 10001 · Work Model: Onsite · Employment Type: Temporary · Estimated Duration (In months): 7 · Min Hourly Rate($): 40.00 · ...
-
Compliance Manager
1 day ago
Solomon Page New York, United StatesWe are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance for high-net-worth individuals and institutions. The position is an add to staff as t ...
Compliance, Private Wealth Management Compliance - New York, United States - Goldman Sachs
Description
MORE ABOUT THIS JOB:
GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.
RESPONSIBILITIES AND QUALIFICATIONS:Job Summary & Responsibilities
US Market Solutions Group (MSG) Compliance is part of the Global PWM Compliance team, the role is based in New York and will have a particular focus on capital markets and complex products offering (including derivatives, structured products, new issues, co-investments). Responsibilities will include providing product related compliance advice, monitoring, product/trade approvals and project management. The role will report into the US Head of MSG Compliance.
Principal Responsibilities:
Additional Responsibilities:
Basic Qualifications:
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
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
Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity