Wealth Management Compliance VP — Risk & Regulation

Goldman Sachs; Los Angeles (CA); Sur place; USD 120 000 - 190 000; Plein temps

Avantages offerts par ce poste

Healthcare & Medical Insurance

Financial Wellness & Retirement

Health Services

Fitness

Child Care & Family Care

Benefits at Goldman Sachs

Résumé du poste

Goldman Sachs Wealth Management Compliance seeks an Associate or Vice President to join our Los Angeles team. The role focuses on surveillance, client suitability, and cross-functional collaboration with Legal, Operations and the Wealth Management unit to ensure regulatory adherence.

Ideal candidates bring 3–5 years in financial regulatory issues, strong communication, analytical skills, and a proactive approach.

Qualifications

• Three to five years of experience in legal, regulatory or compliance within finance.
• Excellent interpersonal skills; ability to build consensus and influence decisions.
• Strong analytical and risk assessment capabilities with concise communication.
• Ability to work under pressure with a proactive, can-do attitude.
• Willingness to pass Series 7, 63, 9 and 10 exams within a reasonable period.

Responsabilités

• Monitor surveillances focusing on regulatory and internal controls.
• Assess product and transaction suitability for clients per regulations.
• Interact daily with Wealth Management, Compliance, Legal and Ops teams.
• Review marketing materials used to pitch products and services.
• Advise on regulations, policies and client issues for the business unit.
• Participate in US Wealth Management and Global Compliance projects.

Connaissances

Regulatory compliance

Interpersonal skills

Analytical thinking

Risk assessment

Verbal and written communication

Self-starter

Multi-tasking

Series 7/63/9/10

Description du poste

Goldman Sachs Wealth Management Compliance seeks an Associate or Vice President to join our Los Angeles team. The role focuses on surveillance, client suitability, and cross-functional collaboration with Legal, Operations and the Wealth Management unit to ensure regulatory adherence.

Ideal candidates bring 3–5 years in financial regulatory issues, strong communication, analytical skills, and a proactive approach.