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Compliance, PWM Compliance, Vice President

Goldman Sachs Group


Location:
Chicago, IL 60606
Date:
08/31/2020
2020-08-312020-11-29
Categories:
  • Financial Services
  • Accounting
  • Management
  • Sales / Business Development
  • Marketing
Goldman Sachs Group
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Job Details

MORE ABOUT THIS JOB

GLOBAL COMPLIANCE

 

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.

RESPONSIBILITIES AND QUALIFICATIONS

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 Chicago 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 PWM 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 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

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 
  • 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

ABOUT GOLDMAN SACHS

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. Were 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

© The Goldman Sachs Group, Inc., 2020. All rights reserved.Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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