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.

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 relevant 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

ABOUT GOLDMAN SACHS

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 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

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

Salary Range
The expected base salary for this Los Angeles, CA, United States-based position is $100000-$265000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.

Goldman Sachs

Wealth Management Compliance - Private Wealth Management

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Goldman Sachs

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