Compliance Specialist

11 hours ago


New York, New York, United States Goldman Sachs Full time
About This Role

We are seeking a highly skilled Compliance Specialist to join our Private Wealth Management Compliance team in New York. As a key member of our team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong culture of compliance.

Key Responsibilities
  • Provide compliance input in product design and approvals
  • Conduct trading and suitability surveillance
  • Represent the firm in Divisional Committees, such as Order Execution Review Committee
  • Manage products and suitability related projects
Additional Responsibilities
  • Provide advice and support to business projects and issues requiring compliance input
  • Manage compliance-led projects and represent PWM Divisional Compliance on Firmwide and cross-regional projects and working groups
  • Review and approve marketing materials prepared for distribution to clients/prospects
  • Review and approve client account and trade activity from a suitability perspective
  • Provide support for/respond to general compliance-related queries
  • Develop and implement compliance-related policies and procedures
  • Impact analysis and implementation of regulatory changes affecting the PWM business
  • Develop and deliver training for business personnel
Requirements
  • University degree and/or professional compliance/financial services qualification
  • 3-5 years compliance or other relevant financial services experience. Private wealth management/product compliance experience preferred
  • Detailed knowledge of US regulatory environment
  • Any knowledge of international regulatory regimes an advantage
  • Ability to handle multiple tasks and work under pressure
  • Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
  • Strong interpersonal skills and effective written/oral communication skills
  • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
  • Attention to detail
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.


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