CWM, PWM, Wealth Management Professional (WMP), Associate/Vice President - San Francisco

Location(s) US-CA-San Francisco
Job ID
Schedule Type
Full Time
Consumer and Wealth Management
Business Unit
Equity Structuring
Employment Type


Equity Structuring is seeking a VP / Associate to work as a Wealth Management Professional (WMP) providing operational support as we build and enhance the 10b5-1 platform


Consumer and Wealth Management (CWM)

Across Consumer and Wealth Management (CWM), Goldman Sachs helps empower clients and customers around the world reach their financial goals. Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees. Our consumer business provides digital solutions for consumers to better spend, borrow, invest, and save. Across CWM, our growth is driven by a relentless focus on our people, our clients and leading-edge technology, data and design.



Goldman Sachs Private Wealth Management (PWM) specializes in creating comprehensive wealth management plans for high net worth individuals and families, as well as select institutions, including foundations and endowments. PWM Teams work one-on-one with clients to advise and deliver customized strategies drawn from our deep investment experience, diverse wealth management capabilities and global reach. Our Private Wealth Advisors (PWAs) deliver an unparalleled investment platform inclusive of the full product and service offerings of Goldman Sachs and beyond, which may include tax and estate planning, philanthropic planning and private banking and lending services. As client needs evolve, this close relationship allows the team to offer complementary services and new opportunities by leveraging the resources of Goldman Sachs and beyond.


Equity Structuring (EQS)

The Equity Structuring group (“EQS”) sits within Private Wealth Management (“PWM”) and delivers tailored and holistic equity-based solutions to global wealth management and cross-divisional clients through customized structuring and execution services. EQS provides clients with single stock risk management expertise and thematic investment opportunities across a variety of implementation vehicles such as public equity trades, listed options, structured notes, and over-the-counter (OTC) derivatives on both an agency and principal basis.



A Wealth Management Professional will work to provide operational support to The Single Stock Risk Management team that sits within the Equity Structuring group with a primary focus on building out and broadening the 10b5-1 plan platform.


Our Impact:

The Single Stock Risk Management team works with clients who have concentrated single stock positions, which often includes restricted & control stock, to deliver tailored solutions that incorporate insights from the client’s broader team, Issuers and subject matter experts across GS divisions. Clients include C-level executives, Insiders, multi-generational shareholders, and other investors. These discussions occur before and following important corporate events, such as IPOs and M&A events, and often lead to further actions such as hedging and monetization transactions via block trades, 10b5-1 sales/purchase plans, derivative transactions, and option overlay strategies.


How You Will Fulfill Your Potential:

A Wealth Management Professional will work to provide operational support to the fast growing 10b5-1 team and will be an integral part of building out and broadening this key platform. A WMP will provide support to sales across all aspects of the business, including: new account onboarding, account documentation, restricted stock processes, and general client services such as wire transfers. The role will involve working with other internal teams including operations, compliance, middle office, legal and wealth management teams. Additionally, a WMP may provide support for situations involving restricted & control stock including preparing Rule 144 filings, relaying execution details to external Issuers for required filings, and working with internal operations and external stakeholders for share clean-up and delivery.


Principal Responsibilities:

  • Work as part of a global team to support the trade execution on the 10b5-1 platform
  • Provide operational guidance and Filings support for client situations involving restricted securities
  • Assist with the new account onboarding process, including documentation and funding supported by account opening and approval teams
  • Manage the ongoing processing of transactions including maintaining records, transaction details and revenue information
  • Contribute to ongoing platform expansion and technology development through collaboration with business partners, trading and other stakeholders



Basic Qualifications:

  • Bachelor’s degree with minimum of 3-5 years of financial markets experience
  • Process-oriented with ability to think independently and analytically
  • Strong attention to detail, time management and organizational skills
  • Strong interpersonal and communication skills (written and verbal)
  • Motivated team player who takes initiative and has ability to work autonomously
  • Strong Microsoft Office skills (Word, Excel, Outlook)
  • Series 7 and 66 required (to be obtained within first three months)​


Preferred Qualifications:

  • Knowledge of brokerage industry, capital markets and/or US securities laws
  • Previous experience working in and/or with corporate legal, compliance department, or equity-related operational support




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