MORE ABOUT THIS JOB

WEALTH MANAGEMENT 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.

The role of Compliance within Wealth Management (“WM”) is to partner with the business in order to conduct and supervise its business in line with regulations and firm policies, help to reduce the firm’s regulatory and reputation risk, and reinforce the firm’s culture of compliance.

RESPONSIBILITIES AND QUALIFICATIONS

Job Summary & Responsibilities

WM Compliance is responsible for supervising the WM business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The Workplace and Personal Wealth (“WPW”) Compliance team within WM Compliance supports WPW business initiatives. We are looking for a team member who wants to be part of supporting marketing material review processes as well as helping design, test, deploy and resolve surveillance alerts aimed to identifying and mitigating various conflicts / risks – someone who is equal part visionary and executor. The role will frequently require you to navigate and problem solve with multiple teams and stakeholders.

As a contributor to the WPW Compliance Team, a successful candidate will be responsible for supporting and organizing Compliance’s involvement in various marketing and surveillance related projects as well as being the key Compliance contact for working groups and developing subject matter expertise in regulations applicable to the businesses. Additionally, the role will involve working in collaboration with the broader compliance team to deliver day to day advisory functions.

Basic Qualifications

• Undergraduate degree with 3 to 5 years of industry experience
• Strong project management skills and ability to see a task to completion
• Excellent written and verbal communication skills and ability to interact with senior leaders across departments
• Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
• Ability to quickly grasp complex concepts, including US business and regulatory matters
• Professional maturity and confidence in expressing a point of view with senior management
• Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment

Preferred Qualifications

• Organize, plan and execute on key milestones that deliver innovative solutions to business, compliance and technology-related challenges
• Execute multiple complex initiatives many of which require robust technology solutions
• Partner with the WPW Technology, Operations, Marketing and Business teams to enhance governance processes in support of business functions and compliance programs

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. 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 GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

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