VP, Wealth Management Compliance

Goldman Sachs; Los Angeles (CA); On-site; USD 120,000 - 180,000; Full time

Job summary

Goldman Sachs Global Compliance in Los Angeles seeks an Associate or Vice President to join a team protecting the firm’s reputation and managing regulatory risk. You will work across Wealth Management to interpret and enforce regulatory requirements, and contribute to enterprise risk programs.

The role emphasizes surveillance, client suitability, and collaboration with Legal, Operations and the Wealth Management units to ensure compliant marketing and client interactions.

Qualifications

• Bachelor’s degree required.
• (Three to five years of experience.)
• Experience with legal, regulatory and compliance issues in the financial industry.

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 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

Skills

Regulatory compliance

Interpersonal skills

Ability to work under pressure

Creative problem solving

Analytical skills

Self-starter

Multi-tasking

Series 7/63/9/10 readiness

Education

Bachelor’s degree

Job description

Goldman Sachs Global Compliance in Los Angeles seeks an Associate or Vice President to join a team protecting the firm’s reputation and managing regulatory risk. You will work across Wealth Management to interpret and enforce regulatory requirements, and contribute to enterprise risk programs.

The role emphasizes surveillance, client suitability, and collaboration with Legal, Operations and the Wealth Management units to ensure compliant marketing and client interactions.