VP, Private Wealth Compliance & Regulatory Risk

Goldman Sachs Bank AG; Miami, Northern (FL, KY); Hybrid; USD 150,000 - 230,000; Full time

Job summary

Goldman Sachs Global Compliance seeks a VP for Private Wealth Management Compliance based in Miami. The role focuses on surveillance, regulatory adherence, and client suitability across PWM activities, collaborating with Legal, Compliance and Operations to ensure policy-compliant guidance and execution.

The ideal candidate brings 5+ years of financial compliance experience, strong communication skills, and the ability to manage multiple priorities in a fast-paced environment.

Qualifications

• Five years of relevant experience in financial services compliance or regulatory roles.
• Strong interpersonal and relationship-building skills with ability to influence decisions.
• Ability to work under pressure and maintain a proactive, hands-on approach.
• Creative problem-solving and ability to implement innovative compliance solutions.
• Excellent analytical and risk assessment capabilities with clear written and verbal communication.
• Ability to speak and read Portuguese and/or Spanish.
• Self-motivated, quick learner, and able to work with minimal supervision.
• Ability to multi-task in a dynamic work environment.
• Holding or pursuing Series 7, 63, 9 and 10 (or willingness to pass exams in a reasonable time).

Responsibilities

• Monitor and surveil for regulatory compliance within the Private Wealth Management (PWM) business.
• Assess product and transaction suitability while ensuring adherence to regulations and internal policies.
• Collaborate with Florida PWM, Legal, Compliance and Operations teams on a daily basis.
• Review marketing materials used to promote PWM products and services.
• Advise PWM teams on applicable regulations and policies.
• Contribute to US PWM and Global Compliance projects and initiatives.

Skills

Regulatory compliance

Interpersonal skills

Team player

Under pressure

Innovative solutions

Analytical thinking

Risk assessment

Portuguese/Spanish language

Self-starter

Multi-tasking

Series 7, 63, 9, 10 readiness

Job description

Goldman Sachs Global Compliance seeks a VP for Private Wealth Management Compliance based in Miami. The role focuses on surveillance, regulatory adherence, and client suitability across PWM activities, collaborating with Legal, Compliance and Operations to ensure policy-compliant guidance and execution.

The ideal candidate brings 5+ years of financial compliance experience, strong communication skills, and the ability to manage multiple priorities in a fast-paced environment.