Compliance, Private Wealth Management/Personal Financial Management Group, Vice President
Posted on: 11 Oct 2021
Seattle, WA
Job Description
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 Private Wealth Management Business units.
Private Wealth Management Compliance is seeking a Vice President to join our team and be based out of the Seattle 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 Private Wealth Management and Personal Financial Management Group business units, Divisional Compliance, Legal and Operations teams on a daily basis
Reviewing marketing materials that are used to pitch products and services to clients
Advising Private Wealth Management and Personal Financial Management Group business units and teams on regulations, policies and client issues
Participating in US PWM and Global Compliance projects and initiatives
Basic Qualifications:
Bachelor’s degree required
A minimum of five years of relevant experience
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
Have the ability to multi-task and adapt to new situations and a dynamic work environment
Hold the Series 7, 63, 9 and 10 or be willing and able to pass exams in a reasonable period of time
Goldman Sachs
New York, New York
The Goldman Sachs Group, Inc. operates as an investment banking, securities, and investment management company worldwide. It operates in four segments: Investment Banking, Institutional Client Services, Investing & Lending, and Investment Management. The Investment Banking segment provides financial advisory services, including strategic advisory assignments related to mergers and acquisitions, divestitures, corporate defense activities, restructurings, spin-offs, and risk management; and underwriting services, such as debt and equity underwriting of public offerings and private placements of various securities and other financial instruments, as well as derivative transactions with public and private sector clients.
The Institutional Client Services segment is involved in client execution activities related to making markets in cash and derivative instruments for interest rate products, credit products, mortgages, currencies, commodities, and equities; and provision of securities services comprising financing, securities lending, and other brokerage services, as well as the marketing and clearing of client transactions on various stock, options, and futures exchanges.
The Investing & Lending segment invests in and originates longer-term loans; and makes investments in debt securities and loans, public and private equity securities, and infrastructure and real estate entities, as well as provides unsecured and secured loans through its digital platforms. The Investment Management segment offers investment management services; and wealth advisory services consisting of portfolio management, financial planning and counseling, and brokerage and other transaction services. The company serves corporations, financial institutions, governments, and individuals. The Goldman Sachs Group, Inc. was founded in 1869 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees35,900
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Website
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Jobs Posted925
