Goldman Sachs
Compliance, Personal Wealth Compliance, Vice President
Goldman Sachs, Salt Lake City, Utah, United States, 84106
Compliance, Personal Wealth Compliance, Vice President Pay Competitive
Location Salt Lake City/Utah
Employment type Full-Time
Job Description
Req#: 111761 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. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Any additional information you require for this job can be found in the below text Make sure to read thoroughly, then apply. Job Summary & Responsibilities
This role is within Wealth Management (“WM”) Compliance and, specifically, the Workplace and Personal Wealth (“WPW”) Compliance team. We are seeking a Vice President to join our team and be based out of the Salt Lake City office. The role will frequently require you to navigate and problem solve with multiple teams and stakeholders. As part of this team, the primary responsibilities will include: Advising WPW business units and teams on regulations, policies and client issues on a daily basis Monitoring and conducting surveillances focused on compliance with regulatory and/or internal controls and policies Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies Interacting with the WM business units, Divisional Compliance, Legal and Operations teams on a daily basis Reviewing marketing materials that are used to pitch products and services to clients Participating in select projects and initiatives Basic Qualifications: Undergraduate degree Minimum of five years of relevant industry experience Skills and Characteristics: Experience with legal, regulatory and compliance issues in the financial industry Excellent written and verbal communication skills and ability to interact with senior leaders Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess Ability to quickly grasp complex concepts, including US 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 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. 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 The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender IdentityAbout the company The Goldman Sachs Group, Inc., is an American multinational investment bank and financial services company headquartered in New York City. Notice Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000. Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility. An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.
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Req#: 111761 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. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Any additional information you require for this job can be found in the below text Make sure to read thoroughly, then apply. Job Summary & Responsibilities
This role is within Wealth Management (“WM”) Compliance and, specifically, the Workplace and Personal Wealth (“WPW”) Compliance team. We are seeking a Vice President to join our team and be based out of the Salt Lake City office. The role will frequently require you to navigate and problem solve with multiple teams and stakeholders. As part of this team, the primary responsibilities will include: Advising WPW business units and teams on regulations, policies and client issues on a daily basis Monitoring and conducting surveillances focused on compliance with regulatory and/or internal controls and policies Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies Interacting with the WM business units, Divisional Compliance, Legal and Operations teams on a daily basis Reviewing marketing materials that are used to pitch products and services to clients Participating in select projects and initiatives Basic Qualifications: Undergraduate degree Minimum of five years of relevant industry experience Skills and Characteristics: Experience with legal, regulatory and compliance issues in the financial industry Excellent written and verbal communication skills and ability to interact with senior leaders Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess Ability to quickly grasp complex concepts, including US 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 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. 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 The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender IdentityAbout the company The Goldman Sachs Group, Inc., is an American multinational investment bank and financial services company headquartered in New York City. Notice Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000. Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility. An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.
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