Compliance, Private Wealth Management (PWM), Vice President, Los Angeles

 Job Summary & Responsibilities

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 supports the growing Wealth Management Business units. 

Wealth Management Compliance is seeking an Associate or Vice President to join our team and be based out of the Los Angeles office.  As part of this team, the primary responsibilities will include:

• Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls

• Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies

• Interacting with the Wealth Management business unit, Divisional Compliance, Legal and Operations teams daily

• Reviewing marketing materials that are used to pitch products and services to clients

• Advising Wealth Management business unit and teams on regulations, policies and client issues

• Participating in US Wealth Management and Global Compliance projects and initiatives

Basic Qualifications: 

• Bachelor’s degree required 

• Three to five years of experience 

Skills and Characteristics:

An ideal candidate should: 

• Have experience with legal, regulatory and compliance issues in the financial industry

• Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions

• Work well under pressure and has a positive, hands-on, “can do” attitude 

• Be able to devise and implement creative and innovative solutions

• Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills

• Be a quick learner and self-starter, with the ability to work effectively with minimal supervision 

• Can multi-task and adapt to new situations and a dynamic work environment 

• Hold Series 7, 63, 9 and 10 or be willing and able to pass exams in a reasonable period