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.
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Compliance within Private Wealth Management (PWM):
The role of Compliance within Private Wealth Management (PWM) is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, help to reduce the firm's regulatory and reputation risk, and reinforce the firm's culture of compliance. The position will work closely with the global PWM Compliance team as well as other global Compliance teams and the PWM Business. The position provides an opportunity to be part of an international team and Firm.
Illustrative responsibilities of the Associate:
- Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
- Conducting E-communication surveillance to investigate exceptions to determine whether appropriate and resolving and documenting close out of such investigations
- Draft and maintain firm policies and procedures
- Advising on various firm policies
- Utilize control systems to review notes for content, accuracy, and appropriateness
- Developing monthly reporting and present to leadership
- Implementing query-based reports to determine opportunities for improvement and efficiencies with existing surveillances
Basic Qualifications:
- Bachelor's degree required
- Basic understanding of the fundamentals of the financial industry
- Series 7, Series 9/10 a plus, but not required
Skills and Characteristics:
- Experience conducting surveillance a plus
- High energy and focus with the ability to handle a variety of issues
- Strong analytical skills
- Attention to detail
- Ability to exercise balanced judgment
- Must work well in a team
- Positive hands-on attitude
- Excellent communication and influencing skills
- Clarity and brevity in communication is essential
- Motivated and adaptable; ability to respond creatively and quickly in a fast-paced environment
- Must be comfortable issue-spotting, working with subject matter experts and leading teams to resolution
- Ability to manage client expectations and competing priorities
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 also have offices in certain high value locations such as Salt Lake City.
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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