Vice President, Private Wealth Compliance – Miami

Socket.dev; Miami (FL); On-site; USD 170,000 - 230,000; Full time

Job summary

Goldman Sachs Global Compliance is seeking a Vice President in Miami to join the Private Wealth Management Compliance team. The role focuses on monitoring regulatory surveillance, assessing product and transaction suitability for diverse clients, and liaising with PWM, Legal and Operations to ensure strict adherence to internal controls and regulations.

The ideal candidate will have a Bachelor’s degree and at least five years of relevant experience, with proficiency in Portuguese and/or Spanish

Qualifications

• Bachelor’s degree required.
• At least five years of relevant experience.
• Experience with legal, regulatory and compliance issues in the financial industry.
• Ability to speak/read Portuguese and/or Spanish allowed.

Responsibilities

• Monitor and conduct surveillances focusing on regulatory and internal controls.
• Assess financial product and transaction suitability for clients, ensuring regulatory compliance.
• Interact with the Florida PWM business, Divisional Compliance, Legal and Operations daily.
• Review marketing materials used to pitch PWM products and services.
• Advise PWM teams on regulations, policies and client issues.
• Participate in US PWM and Global Compliance projects and initiatives.

Skills

Regulatory compliance

Stakeholder communication

Risk assessment

Portuguese/Spanish

Series exams (7/63/9/10)

Education

Bachelor’s degree

Job description

Goldman Sachs Global Compliance is seeking a Vice President in Miami to join the Private Wealth Management Compliance team. The role focuses on monitoring regulatory surveillance, assessing product and transaction suitability for diverse clients, and liaising with PWM, Legal and Operations to ensure strict adherence to internal controls and regulations.

The ideal candidate will have a Bachelor’s degree and at least five years of relevant experience, with proficiency in Portuguese and/or Spanish