Compliance Officer, Private Wealth Management/Personal Financial Management Group, Vice President

4 weeks ago

Seattle, Washington, United States Goldman Sachs Full time

About This Role:

At Goldman Sachs, we are committed to protecting the reputation of the firm, managing risk, and advancing the business. As a Compliance Officer in our Private Wealth Management/Personal Financial Management Group, you will play a critical role in ensuring that our business practices are in line with regulatory requirements and our internal policies.

Responsibilities:

  • Monitor and conduct surveillances to ensure compliance with regulatory and internal controls.
  • Assess financial product and transaction suitability for a range of clients, ensuring strict compliance with regulations and internal policies.
  • Interact with the Private Wealth Management and Personal Financial Management Group business units, Divisional Compliance, Legal, and Operations teams on a daily basis.
  • Review marketing materials used to pitch products and services to clients.
  • Advise Private Wealth Management and Personal Financial Management Group business units and teams on regulations, policies, and client issues.
  • Participate in US PWM and Global Compliance projects and initiatives.

Qualifications:

  • Bachelor's degree required.
  • A minimum of five years of relevant experience.
  • Experience with legal, regulatory, and compliance issues in the financial industry.
  • Excellent interpersonal skills, with the ability to forge relationships, build consensus, and influence decisions.
  • Ability to work well under pressure and have a positive, hands-on, can-do attitude.
  • Strong analytical and risk assessment skills, as well as concise verbal and written communication skills.
  • Ability to devise and implement creative and innovative solutions.
  • Quick learner and self-starter, with the ability to work effectively with minimal supervision.
  • Ability to multi-task and adapt to new situations and a dynamic work environment.
  • Hold the Series 7, 63, 9, and 10 or be willing and able to pass exams in a reasonable period of time.

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. 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.

  • Compliance Risk Management Vice President

    4 weeks ago

    Seattle, Washington, United States Goldman Sachs Full time

    Job Summary:As a Vice President in the Private Wealth Management Compliance team at Goldman Sachs, you will play a critical role in ensuring the firm's compliance with regulatory requirements and internal policies. Key Responsibilities:Monitor and conduct surveillances to ensure compliance with regulatory and internal controls.Assess financial product and...

  • Associate Vice President of IT and Chief Financial Officer

    1 month ago

    Seattle, Washington, United States Agupdate Full time

    Transformative Leadership OpportunityThe University of Washington-IT is seeking a visionary leader to serve as the Associate Vice President of IT and Chief Financial Officer. This unique opportunity requires a strategic thinker with exceptional leadership qualities, financial acumen, and a passion for driving innovation and excellence in IT and finance.As a...

  • Office Manager and Administrative Assistant

    4 weeks ago

    Seattle, Washington, United States Bryant Christie Inc. Full time

    Office Manager and Administrative AssistantBryant Christie Inc. is seeking a highly skilled Office Manager and Administrative Assistant to join our team in Seattle. As a key member of our office staff, you will be responsible for providing administrative support to our Executive Vice President/Chief Operating Officer and Vice President of Global Access.Key...

  • Assistant Vice President of Risk Management

    4 weeks ago

    Seattle, Washington, United States YMCA of Greater Seattle Full time

    Job SummaryThe Assistant Vice President of Risk Management will lead the organization's risk management efforts, identifying and mitigating potential risks to the business. This role will oversee the development and implementation of risk management policies and procedures, ensuring compliance with relevant laws and regulations.Key ResponsibilitiesDevelop...

  • Vice President of Financial Reporting and Strategic Investments

    4 weeks ago

    Seattle, Washington, United States Axon Full time

    About the RoleAxon is seeking a seasoned professional to lead our financial reporting and strategic investments initiatives. As Vice President of Financial Reporting and Strategic Investments, you will be responsible for spearheading our SEC reporting, accounting policy, and consulting, ESG reporting, strategic investments due diligence, and stock...

  • Financial Compliance Manager

    4 weeks ago

    Seattle, Washington, United States Creative Financial Staffing Full time

    Job Title: Financial Compliance ManagerLocation: Seattle/Queen Anne / On-siteSalary Range: $55,000 - $65,000 DOECreative Financial Staffing is seeking a detail-oriented Financial Compliance Manager to join their team. This role will allow you to leverage your expertise in financial management and contract administration while making a positive impact on...

  • Assistant Vice President of Risk Management

    4 weeks ago

    Seattle, Washington, United States YMCA of Greater Seattle Full time

    Job SummaryThe Assistant Vice President of Risk Management will lead the organization's risk management efforts, identifying and mitigating potential risks to the business. This role will oversee the development and implementation of risk management policies and procedures, ensuring compliance with regulatory requirements and industry best practices.The...

  • Senior Vice President of People and Culture

    4 weeks ago

    Seattle, Washington, United States Archbright Full time

    Job DescriptionAkin, a leading organization in Washington state, is seeking a visionary Senior Vice President of People and Culture to lead the transformation and growth of the organization.This is an exciting opportunity for a creative professional to drive business results through the development and implementation of human resources strategies and...

  • Multifamily Operations Director

    1 month ago

    Seattle, Washington, United States Cirrus Asset Management Full time

    Job Title: Vice President of Multifamily OperationsCirrus Asset Management is seeking a seasoned professional to lead our multifamily operations team. As a key member of our leadership team, you will be responsible for driving the strategic vision and operational success of our multifamily properties.Key Responsibilities:Operational Leadership: Oversee the...

  • Client Associate

    4 weeks ago

    Seattle, Washington, United States Laird Norton Wetherby Full time

    Client Associate Job DescriptionLocation: Seattle, WAWe are seeking a highly skilled Client Associate to join our team at Laird Norton Wetherby. As a Client Associate, you will play a crucial role in providing exceptional service to our internal and external clients.Key Responsibilities:Client Communication and Deliverables: Prepare periodic client portfolio...

  • Senior Office Manager

    4 weeks ago

    Seattle, Washington, United States NV5 Full time

    Senior Office Manager Job DescriptionElevate your corporate office administration career with NV5, a rapidly growing team seeking a Senior Office Manager to oversee administrative operations across four offices in Oregon and Washington.Why NV5? At NV5, we're a community of talented professionals dedicated to building, problem-solving, and championing our...

  • Financial Operations Lead

    4 weeks ago

    Seattle, Washington, United States Standish Management Full time

    We offer specialized administration services to private equity fund managers and general partners. Our comprehensive services cater to various fund types, including buy-out, venture capital, real estate, and fund-of-funds.We provide consulting services to help new general partners launch their funds efficiently, in addition to our full administration...

  • Senior Vice President of Engineering

    4 weeks ago

    Seattle, Washington, United States SWCA Full time

    About the OpportunitySWCA is a leader in sustainability and ecological restoration, employing sound science and innovative solutions to confront global environmental challenges. Our dedication to integrity, innovation, and excellence motivates us to create a lasting positive impact on our planet. We seek a Senior Vice President of Engineering who is...

  • Fund Administration Manager

    4 weeks ago

    Seattle, Washington, United States Standish Management Full time

    We are a provider of specialized fund administration services for Managers and General Partners of private equity funds, specifically: Buy-out, Venture Capital, Real Estate and Fund-of-Funds. For new General Partners, we provide consulting services to help accelerate the launch of their funds in addition to our full fund administration services. For...

  • Vice President of Marketing and Growth Operations

    1 month ago

    Seattle, Washington, United States Zenoti Full time

    Job Title: Vice President of Marketing and Growth OperationsZenoti is a leading provider of cloud-based software solutions for the beauty and wellness industry. We are seeking an experienced Vice President of Marketing and Growth Operations to join our team.Job Summary:The Vice President of Marketing and Growth Operations will be responsible for leading our...

  • Senior Director of Tax Compliance

    1 month ago

    Seattle, Washington, United States Coupang Full time

    Job Summary:We are seeking an experienced ASC 740 and income tax compliance expert to join our tax department as a senior advisor and close collaborator with the Vice President & Head of Global Tax. The ideal candidate will have significant experience in process, controls, and non-routine transactions, as well as a strong analytical and project management...

  • Medical Office Financial Manager

    4 weeks ago

    Seattle, Washington, United States Anheuser Busch Inc Full time

    Job SummaryThe Medical Office Controller is responsible for maximizing return on finances by establishing policies, procedures, controls, and reporting systems. This role manages the budget, makes recommendations on financial matters, works with banking agencies, and oversees staff to protect the company's financial well-being.Key ResponsibilitiesManage the...

  • Senior Wealth Advisor

    4 weeks ago

    Seattle, Washington, United States Judson Group Full time

    Judson Group has partnered with a leading RIA to find a Senior Wealth Advisor. The Senior Wealth Advisor will be responsible for attracting and closing prospective HNW and UHNW clients alongside a service advisor in the region that will manage the client relationships moving forward.This is a great opportunity for a driven advisor with a strong business...

  • Senior Property Manager and Portfolio Lead

    3 weeks ago

    Seattle, Washington, United States TAD PGS, Inc. Full time

    This key role is a great opportunity to join TAD PGS, Inc. as a seasoned Senior Property Manager and Portfolio Lead.As a Senior Property Manager and Portfolio Lead, you will be responsible for managing a portfolio of medical office and commercial office properties. This includes preparing monthly reports, managing the performance of contractors and vendors,...

  • Brand Consulting Vice President

    4 weeks ago

    Seattle, Washington, United States CAA - Creative Artists Agency Careers Full time

    Job Title: Brand Consulting Vice President - HospitalityCreative Artists Agency (CAA) is a leading entertainment and sports agency with global expertise in various fields. We are seeking a Brand Consulting Vice President - Hospitality to lead our team focused on an iconic telecom brand's B2B hospitality service offering.The RoleThe successful candidate will...