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Goldman Sachs

Compliance, Private Wealth Management, Capital Markets Compliance, Vice President, New York

New York, NY

Your Impact:
We are looking for a dynamic professional to join the Private Wealth Management (PWM) Capital Markets Compliance team. Capital Markets Compliance focuses on PWM complex products and alternative investment offering, including options, swaps, forwards, exotic derivatives, structured products, hedge funds and private equity funds. The role entails supporting the PWM business in offering complex products in the US and managing a team.

Our Impact:
Capital Markets Compliance works closely with the business to deliver to Private Wealth clients a broad array of investment solutions and to customize them to fit client's needs. This role will provide product related compliance advice and support to the PWM business. Specific tasks would include conducting compliance surveillance, review of marketing materials and training, product and trade approvals as well as advisory and project work.

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  • 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


  • 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

Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000. 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.

Client-provided location(s): New York, NY, USA
Job ID: goldman-116928
Employment Type: Full Time

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