Wealth Management Compliance VP | Global Risk & Regulatory

Goldman Sachs; Los Angeles (CA); On-site; USD 140,000 - 210,000; Full time

Benefits offered by this job

Healthcare benefits

Retirement plans

Paid time off

Bonuses

Job summary

Goldman Sachs Global Compliance in Los Angeles is seeking an Associate or Vice President to join the Wealth Management Compliance team. The role centers on monitoring, surveillance and regulatory controls across client services.

Responsibilities include reviewing marketing materials, assessing product suitability, and coordinating with Legal, Compliance, and Operations on daily activities. The candidate will participate in global initiatives and adapt to a dynamic regulatory landscape.

Qualifications

• Experience with financial regulatory issues and risk management.
• Strong communication and relationship-building abilities.
• Ability to work under pressure and adapt to evolving requirements.
• Willingness to pursue Series 7, 63, 9 and 10 exams.
• Familiarity with wealth management products and client interactions.

Responsibilities

• Monitor surveillance for regulatory and internal controls adherence.
• Assess product and transaction suitability for clients per regulations.
• Interact daily with Wealth Management, Legal, Compliance and Operations teams.
• Review marketing materials used to pitch products and services.
• Participate in US Wealth Management and Global Compliance initiatives and projects.

Skills

Regulatory compliance

Analytical skills

Interpersonal skills

Written & verbal communication

Self-motivated / self-starter

Multi-tasking

Series 7/63/9/10 readiness

Job description

Goldman Sachs Global Compliance in Los Angeles is seeking an Associate or Vice President to join the Wealth Management Compliance team. The role centers on monitoring, surveillance and regulatory controls across client services.

Responsibilities include reviewing marketing materials, assessing product suitability, and coordinating with Legal, Compliance, and Operations on daily activities. The candidate will participate in global initiatives and adapt to a dynamic regulatory landscape.