Summary
The Compliance role is based in New York and provides dedicated support to PWM Capital Markets within the Americas Wealth Management division. The role focuses on capital markets, equity structuring, and managed strategies, including derivatives, structured products, and new issue securities. You will provide real-time advisory services (including product/trade approvals and cross border review), manage regulatory projects, update policies and procedures, conduct thematic compliance reviews and surveillances and ensure that business activities align with U.S. federal securities laws.
Principal Responsibilities
- Policy & Procedure Management: Maintain and update compliance policies, procedures and control documentation
- Regulatory Advisory: Provide day-to-day compliance advice on suitability standards for retail and institutional clients and product structuring
- Forensic Reviews: Conduct periodic forensic reviews and thematic compliance assessments
- Supervisory Reporting: Coordinate and deliver supervisory reports to Desk Heads, highlighting potential conduct breaches or emerging risks in the business
- Surveillance & Monitoring: Execute trading and suitability surveillance
Additional Responsibilities
- Marketing Review: Provide compliance sign-off for marketing materials and client communications prepared for distribution to clients/prospects
- Product Governance: Participate in the design and approval process for new financial products, ensuring risk disclosures and conflict-of-interest mitigations
- GenAI Oversight: Monitor the implementation of Generative AI tools within the business, ensuring compliance with regulatory guidelines and internal policies
- Regulatory Change Management: Analyze the impact of U.S. and regional regulatory shifts and manage implementation efforts.
- Training: Develop and deliver training modules for business personnel on compliance topics
- Committee Representation: Represent Compliance in divisional committees, such as the Best Execution and Product Review Committees.
Experience/Skills
- Education: University degree in Finance, Compliance, or a related field
- Experience: 1+ year of compliance or relevant financial services experience (Wealth Management or Product Compliance preferred)
- Regulatory Knowledge: Knowledge of the U.S. regulatory environment (SEC, FINRA, CFTC)
- Certifications: FINRA Series 7, Series 9/10 is highly preferred
- Product Knowledge: Knowledge of structured products, derivatives, and alternative investments
- Analytical Skills: Ability to analyze complex data sets and exercise sound judgment under pressure
- Communication: Excellent interpersonal and written communication skills
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
© The Goldman Sachs Group, Inc., 2025. All rights reserved.
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.
Skills Required
- University degree in Finance, Compliance, or related field
- 1+ year of compliance or relevant financial services experience
- Knowledge of U.S. regulatory environment (SEC, FINRA, CFTC)
- FINRA Series 7
- FINRA Series 9/10
- Knowledge of structured products, derivatives, and alternative investments
- Analytical ability to analyze complex data sets and exercise judgment under pressure
- Excellent interpersonal and written communication skills
Goldman Sachs Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Goldman Sachs and has not been reviewed or approved by Goldman Sachs.
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Healthcare Strength — Coverage includes medical, dental, vision, disability, life and accident insurance, with multiple plan options and most premiums subsidized; coverage often starts on day one. Wellness resources, on-site health centers in some locations, and EAP access reinforce the depth of health support.
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Parental & Family Support — Family care includes on-site childcare in some offices, expectant parent resources, and transitional programs for returning parents. Feedback suggests parental leave is very generous, with reports of around 20 weeks paid leave and stipends for adoption, surrogacy, and fertility-related services.
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Retirement Support — The firm provides a 401(k) plan with employer matching contributions and broad financial education to help employees plan for retirement. Resources also support saving for education and preparing for unexpected events.
Goldman Sachs Insights
What We Do
At Goldman Sachs, we believe progress is everyone’s business. That’s why we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, Goldman Sachs is a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices in all major financial centers around the world. More about our company can be found at www.goldmansachs.com
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