Compliance, PWM Compliance, Analyst/Associate, New York


GLOBAL COMPLIANCEOur 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.

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This position sits in divisional compliance with Private Wealth Management (PWM) Compliance.

PWM works with high net worth individuals, families and institutions to develop and overall wealth management plan.

The global PWM Compliance team covers all compliance aspects including but not limited to marketing material review, surveillance, policies / procedures, and training. The selected candidate will have exposure to strategies and products offered within PWM. This is an analyst/associate position for the New York City-based team.

As part of the PWM Compliance team, the Analyst/Associates primary responsibilities will include:

  • Review of marketing materials that are used to pitch PWM clients / prospects
  • Provide advisory support to the business and compliance teams on a daily basis
  • Coordinate with Business areas, Legal, Technology and Operations to assist with new business initiatives and regulatory requirements
  • Manage ad-hoc and long-term projects as required


Basic Qualifications

  • Analyst level: 1-2 years of relevant experience
  • Associate level: 3-6 years of relevant experience, with a minimum of 2 years in asset management and/or other financial industry compliance experience
  • Interest and willingness to develop expertise in legal, regulatory and compliance issues in the financial industry � Risk and control focused individual with excellent judgment
  • Strong analytical and risk assessment skills
  • Concise verbal and written communication skills
  • Excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
  • Self-starter, works independently, and proactively follows-up. Strong sense of urgency
  • Ability to multi-task and meet multiple deadlines. Organized and attentive to detail

Preferred Qualifications

  • Project management experience
  • Knowledge of products traded, as noted above


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 reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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