Compliance, PWM Compliance, Associate/Vice President
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.
The Compliance Department seeks to protect from regulatory and reputational risk and provide assistance to the business. The role of Compliance within 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.
RESPONSIBILITIES AND QUALIFICATIONS
Job Summary & Responsibilities
Private Wealth Management ("PWM") Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes.
As a contributor to the Global Projects Team within PWM Compliance, a successful candidate will be responsible for overseeing and organizing Compliance's involvement in a multi-year project as well as being the key Compliance contact for working groups and developing subject matter expertise in regulations applicable to the business.
- Undergraduate degree
- Minimum 6 years of experience in the financial services industry Strong project management skills and ability to see a task to completion
- Understanding of standard system implementation methodologies
- 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 global 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
- 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
- Proactively contribute to and drive strategy across PWM Compliance programs
- Partner with the PWM Technology, PWM Operations and PWM Business teams to enhance governance processes in support of infrastructure builds and oversee strategic compliance / business solutions
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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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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.
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