Wealth Management Compliance VP

The Goldman Sachs Group; Los Angeles (CA); On-site; USD 110,000 - 190,000; Full time

Job summary

The Goldman Sachs Group, based in Los Angeles, seeks an Associate or Vice President for Global Compliance to protect the firm's reputation and manage regulatory risk. You will monitor surveillance, advise on regulations, and collaborate with Wealth Management, Legal, and Operations to ensure compliant processes and client solutions.

Ideal candidates hold a bachelor’s degree with 3–5 years of compliance experience, possess strong analytical skills, and can work effectively in a fast-paced

Qualifications

• A track record of handling legal, regulatory, and compliance matters in finance.
• Strong interpersonal and influence skills with the ability to build consensus.
• Ability to work under pressure and adapt to a changing regulatory landscape.
• Demonstrated risk assessment and concise communication capabilities.
• Willing to pursue or hold FINRA Series licenses (7, 63, 9, 10) or pass exams.

Responsibilities

• Monitor and surveil for regulatory and internal control compliance.
• Assess product and transaction suitability for clients under policies.
• Collaborate with Wealth Management, Legal and Operations daily.
• Review marketing materials used to pitch products and services.
• Advise on regulations, policies, and client issues.
• Contribute to US Wealth Management and Global Compliance initiatives.

Skills

Regulatory compliance

Legal awareness

Interpersonal skills

Team player

Analytical thinking

Risk assessment

Fast learner

Self-starter

Multi-tasking

Series 7/63/9/10 knowledge

Education

Bachelor's degree

Job description

The Goldman Sachs Group, based in Los Angeles, seeks an Associate or Vice President for Global Compliance to protect the firm's reputation and manage regulatory risk. You will monitor surveillance, advise on regulations, and collaborate with Wealth Management, Legal, and Operations to ensure compliant processes and client solutions.

Ideal candidates hold a bachelor’s degree with 3–5 years of compliance experience, possess strong analytical skills, and can work effectively in a fast-paced