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
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.
Skills Required
- Bachelor's degree
- Three to five years of experience
- Experience with legal, regulatory, and compliance issues in the financial industry
- Excellent interpersonal, relationship-building, consensus-building, and influencing skills
- Strong analytical and risk assessment skills
- Concise verbal and written communication skills
- Ability to work effectively with minimal supervision
- Ability to multitask and adapt to a dynamic work environment
- Series 7, 63, 9, and 10 licenses, or willingness and ability to pass the exams within a reasonable period
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 — Healthcare is described as offering multiple plan options with subsidized premiums and prescription coverage. Materials indicate there are no pre-existing condition limitations in the U.S. summary.
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Retirement Support — Retirement benefits are considered competitive, including employer 401(k) matching and access to financial education and planning resources. These features position long-term savings as a core component of the package.
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Parental & Family Support — Family-support programs include paid parenting leave, family-care leave, and resources such as childcare support and lactation rooms in some offices. These offerings signal emphasis on supporting caregivers alongside work.
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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