Asset & Wealth Management- Operations – Private Wealth Management – Client Onboarding Approver [...]

Goldman Sachs Group, Inc.; Dallas (TX); On-site; USD 120,000 - 160,000; Full time

Job summary

A leading company in Dallas is seeking a Vice President for their PWM Client Onboarding team. This role involves overseeing a team to ensure compliance and enhance client onboarding processes. Ideal candidates will have strong leadership skills and a background in the financial industry.

Benefits

Competitive benefits and wellness programs

Qualifications

• 2+ years managing teams.
• Knowledge of AML & KYC requirements.

Responsibilities

• Oversee a team of PWM Client Onboarding Approvers.
• Drive strategy, procedure, and system enhancements.
• Complete due diligence reviews for AML & KYC.

Skills

Problem-Solving

Communication

Organization

Tools

MS Office

Job description

Asset & Wealth Management- Operations – Private Wealth Management – Client Onboarding Approver – Vice President- Dallas

Job Description

YOUR IMPACT
Are you looking to apply your problem resolution and customer service skills while deepening your understanding of the Private Wealth Management (PWM) business? Our PWM Client Onboarding Approver team is seeking a Vice President Team Manager who will oversee a team collaborating with PWM Advisor Teams, Legal, Compliance, and Anti Money Laundering to facilitate account opening and maintenance for PWM Clients, while providing superior client service and subject matter expertise.

OUR IMPACT
Operations is a dynamic division partnering with all parts of the firm to deliver banking, sales, trading, and asset management capabilities globally. It also provides essential risk management and control to preserve and enhance the firm’s assets and reputation. For every trade, new product, market entry, and transaction, Operations develops processes and controls that enable business flow.

PWM Client Onboarding is a highly regulated team focusing on account documentation, data integrity, risk management, and compliance. It captures all required information for regulatory adherence, firm policies, and due diligence on new clients. The team works closely with PWM Advisor Teams, Legal, Compliance, Anti Money Laundering, and other Operations teams to ensure a positive onboarding experience.

HOW YOU WILL FULFILL YOUR POTENTIAL

• Oversee a team of PWM Client Onboarding Approvers
• Ensure team training on regulations, processes, systems, and procedures for various account types, including options and margin trading
• Monitor and improve team accuracy and productivity
• Drive strategy, procedure, and system enhancements
• Participate as a subject matter expert in projects to improve onboarding workflows
• Understand client account structures and documentation requirements
• Complete due diligence reviews for AML & KYC requirements
• Work with PWM Advisor teams to ensure document accuracy and proper recording
• Ensure downstream systems recognize approved accounts, products, and services
• Coordinate with PWM Teams, Compliance, Legal, and AML to resolve issues

SKILLS & EXPERIENCE WE ARE LOOKING FOR

BASIC QUALIFICATIONS

• Knowledge of MS Office and web-based applications
• FINRA Series 7, 9, and 10 licenses
• 2+ years managing teams
• Strong organization skills
• Good judgment and problem-solving skills
• Ability to multi-task and prioritize
• Excellent communication and presentation skills

PREFERRED QUALIFICATIONS

• FINRA Series 4 license or willingness to obtain it
• 5+ years in financial industry (AML, Compliance, or Client Onboarding experience)

Benefits

Goldman Sachs offers competitive benefits and wellness programs, available to eligible full-time and part-time US employees. Details can be found here.

Goldman Sachs is an equal opportunity employer, committed to diversity and inclusion, and does not discriminate based on race, color, religion, sex, national origin, age, veteran status, disability, or other protected characteristics.

Job Info

• Job Identification 142297
• Job Category Senior Vice President
• Posting Date 03/14/2025
• Location Dallas, Texas, United States