Compliance, Private Wealth Management (PWM) Compliance, Associate, Chicago

Goldman Sachs Group, Inc.; Chicago (IL); On-site; USD 65,000 - 120,000; Full time

Benefits offered by this job

Comprehensive benefits package

Competitive vacation policies

Health and wellness programs

Financial wellness and retirement planning

Job summary

Goldman Sachs Group, Inc. is searching for a Compliance Associate for its Private Wealth Management team in Chicago. The role involves monitoring compliance, assessing financial product suitability, and collaborating with various teams to ensure adherence to regulations.

Candidates should have three years of relevant experience, strong analytical skills, and be willing to hold necessary licenses. The position offers a competitive salary range of $65,000–$120,000 plus potential bonuses.

Qualifications

• Three years of relevant experience in compliance within the financial sector.
• Possession of Series 7, 9, and 10 licenses or willingness to obtain them.

Responsibilities

• Monitor compliance with regulatory and internal controls.
• Assess financial product suitability and ensure compliance.
• Interact daily with various internal teams.
• Review marketing materials for compliance.
• Advise teams on regulations and policies.

Skills

Legal and regulatory compliance

Interpersonal skills

Analytical skills

Risk assessment skills

Verbal and written communication

Job description

Compliance, Private Wealth Management (PWM) Compliance, Associate, Chicago

Chicago, IL, United States

Job Description

Global Compliance

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

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 Private Wealth Management Business.

Private Wealth Management Compliance Associate Responsibilities

• 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 Midwest PWM business, Divisional Compliance, Legal and Operations teams on a daily basis
• Reviewing marketing materials that are used to pitch Private Wealth Management products and services to clients
• Advising Private Wealth Management teams on regulations, policies and client issues
• Participating in US PWM and Global Compliance projects and initiatives

Basic Qualifications

• Three 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 have 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, 9 and 10 or be willing and able to pass exams in a reasonable period of time

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.

Salary Range

The expected base salary for this Chicago, IL, United States-based position is $65,000–$120,000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year‑end.

Benefits

Goldman Sachs offers a comprehensive benefits package, including competitive vacation policies, health and wellness programs, financial wellness and retirement planning, and other employee support services.

Job Info

• Job Identification 178358
• Job Category Associate
• Posting Date 07/02/2026, 01:56 PM
• Locations Chicago, IL, United States