Compliance, Private Wealth Management Compliance, Senior Analyst/Associate, New York
MORE ABOUT THIS JOB
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 this 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.
RESPONSIBILITIES AND QUALIFICATIONS
This position sits in the Global Projects Team within Private Wealth Management ("PWM") Compliance. PWM secures, develops and manages relationships with high net worth individuals, their families, family offices and foundations. PWM assists clients with building and preserving their financial wealth by creating and implementing long-term asset allocation within the context of each client's particular risk tolerance, and by providing access to innovative investment ideas and opportunities.
PWM Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies and assisting with the implementation of new regulations and new systems / processes, as applicable. The Global Projects Team within PWM Compliance is responsible for impact assessment, oversight, and Compliance representation in various regulatory driven projects and business initiatives across PWM.
RESPONSIBILITIES AND QUALIFICATIONS
- Undergraduate degree
- 2-3 years of relevant experience
- Strong presentation skills
- Interest and willingness to develop expertise in legal, regulatory and compliance issues in the financial industry
- Must be a self-starter, able to work independently, and proactively follow-up
- Strong analytical and problem solving skills
- Capable of handling multiple tasks and meeting various deadlines
- Excellent interpersonal skills – team player, able to forge relationships, build consensus and influence decisions
- Ability to appropriately exercise judgment and decision-making in a collaborative consensus-driven environment
- J.D. is helpful but not required
ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
©The Goldman Sachs Group, Inc., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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