Wealth Management Compliance: Associate/VP — Atlanta

Goldman Sachs Bank AG

Atlanta, Northern (GA, KY)

Hybrid

USD 120,000 - 180,000

Full time

6 days ago

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Job summary

Goldman Sachs Global Compliance is seeking an Associate or Vice President to join the Wealth Management Compliance team in Atlanta. This role focuses on monitoring surveillance, evaluating product suitability, and advising on regulatory matters across Wealth Management and Global Compliance.

The successful candidate will collaborate with Legal, Operations and business units, review marketing materials, and help implement controls and training as part of the second line of defense.

Qualifications

Experience with legal, regulatory and compliance issues in the financial industry.
Ability to build relationships, influence decisions and work under pressure.
Willingness to pass required FINRA examinations within a reasonable timeframe.

Responsibilities

Monitoring and conducting surveillances focusing on regulatory and internal controls
Assessing financial product and transaction suitability for a range of clients
Interacting daily with Wealth Management, Divisional Compliance, Legal and Operations
Reviewing marketing materials used to pitch products and services to clients
Advising on regulations, policies and client issues
Participating in US Wealth Management and Global Compliance projects

Skills

Regulatory compliance

Financial industry knowledge

Interpersonal skills

Risk assessment

Communication skills

Fast learner

Tools

Series 7

Series 63

Series 9/10

Job description

The successful candidate will collaborate with Legal, Operations and business units, review marketing materials, and help implement controls and training as part of the second line of defense.

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