Compliance, Private Wealth Management - Global Projects, Associate

Location(s) US-UT-Salt Lake City
Job ID
2021-85532
Schedule Type
Full Time
Level
Associate
Function(s)
General
Region
Americas
Division
Compliance
Business Unit
PWM Compliance
Employment Type
Employee

MORE ABOUT THIS JOB

GLOBAL COMPLIANCE

 

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries.

RESPONSIBILITIES AND QUALIFICATIONS

The role of Compliance within Private Wealth Management (“PWM”) is to partner with the business in order to conduct and supervise its business in line with regulations and firm policies, help to reduce the firm’s regulatory and reputation risk, and reinforce the firm’s culture of compliance.

 

Job Summary & Responsibilities

 

PWM Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The Global Projects team is at the forefront of new business initiatives for PWM and the Wealth Management division more broadly. We are looking for a team member who wants to be part of growing the business in new dimensions –  someone who is equal part visionary and executor.  Many times, the role will require you to navigate and problem solve with multiple teams and stakeholders. 

 

As a contributor to the Global Projects Team within PWM Compliance, a successful candidate will be responsible for supporting and organizing Compliance’s involvement in various multi-year projects as well as being the key Compliance contact for working groups and developing subject matter expertise in regulations applicable to the business. Additionally, the role will involve working in collaboration with the broader compliance team to deliver day to day advisory functions including but not limited to: conducting due diligence reviews, performing gap analyses, as well as leading forensics for ongoing projects.

  

Basic Qualifications:

  • Undergraduate degree with 3 to 5 years of industry experience
  • Strong project management skills and ability to see a task to completion
  • Excellent written and verbal communication skills and ability to interact with senior leaders across departments
  • Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
  • Ability to quickly grasp complex concepts, including global business and regulatory matters
  • Professional maturity and confidence in expressing a point of view with senior management
  • Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment

 

Preferred Qualifications:

  • Organize, plan and execute on key milestones that deliver innovative solutions to business, compliance and technology-related challenges
  • Execute multiple complex initiatives many of which require robust technology solutions
  • Proactively contribute to and drive strategy across PWM Compliance programs
  • Partner with Technology, Operations and Business teams to enhance governance processes in support of infrastructure builds and oversee strategic compliance / business solutions

ABOUT GOLDMAN SACHS

ABOUT GOLDMAN SACHS


At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html



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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity