CWM, PWM, Equity Structuring (EQS), Single Stock Risk Management Team (SSRM), 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 currently seeking a Vice President to work as part of the Single Stock Risk Management team (“SSRM”) with a focus on restricted & control stock.


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.




Our Impact:

The Single Stock Risk Management team sits within the Equity Structuring group. SSRM works with clients who have concentrated single stock positions to deliver tailored solutions. SSRM solutions are developed in partnership with the client’s team of internal and external advisors in order to fully consider the client’s investment objectives, estate planning, risk tolerance, time horizon, liquidity needs, and available market opportunities. Clients include Corporate Executives, Insiders, multi-generational shareholders, Founders of private companies, partners in Venture Capital funds and other investors. SSRM helps individuals and their families solidify objectives and navigate complex timelines by delivering tailored and dynamic solutions that incorporate insights from the client’s broader team, Issuers and subject matter experts across Goldman Sachs. These discussions occur before and following important corporate events, such as IPOs, direct listings, SPACs 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:

You will work as part of the global SSRM team with a focus on 10b5-1 sales/purchase plans. The role will involve working closely with clients, advisors and the global SSRM team to understand the nature of the holdings while also identifying the relevant securities law and contractual considerations to develop a holistic risk management plan focused on 10b5-1 Plans. The 10b5-1 Plans will be developed in direct partnership with private wealth advisors, their clients, and other internal and external stakeholders.  


Principal Responsibilities:

  • Work as part of a global team to provide guidance on 10b5-1 Plans
  • Advise cilents on the relevant planning considerations in pre-IPO and pre-M&A situations
  • Provide operational guidance on client situations involving restricted securities
  • Help maintain records and transaction details related to restricted stock execution
  • Prepare internal reports on a variety of topics, such as business updates, metrics, and competitor analysis



Basic Qualifications:

  • Knowledge and experience with Securities Laws, such as Rule 144, Section 16 and Section 13
  • Bachelor’s degree with minimum of 5 years of experience and at least 3 years in a legal or legal support role
  • Strong attention to detail, time management and organizational skills
  • Strong interpersonal and communication skills (written and verbal)
  • Ability to think independently and analytically within a defined framework
  • Motivated team player who takes initiative and has ability to work autonomously
  • High degree of personal accountability and ability to deal with sensitive and/or confidential information
  • Strong Microsoft Office skills (Word, Excel, Outlook)

Preferred Qualifications:

  • Knowledge of financial planning considerations for executives
  • Experience with stock plan administration
  • Previous experience working with restricted & control stock securities law considerations
  • Knowledge of brokerage industry, capital markets and/or US securities laws
  • Previous experience working in and/or with corporate legal or law firm




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