Compliance-New York-Analyst-Wealth Management Compliance

Principal Responsibilities

• Maintain and update compliance policies, procedures and control documentation
• Provide day-to-day compliance advice on suitability standards for retail and institutional clients and product structuring
• Conduct periodic forensic reviews and thematic compliance assessments
• Cook up and deliver supervisory reports to Desk Heads, highlighting potential conduct breaches or emerging risks in the business
• Execute trading and suitability surveillance
• Provide compliance sign-off for marketing materials and client communications prepared for distribution to clients/prospects
• Participate in the design and approval process for new financial products, ensuring risk disclosures and conflict-of-interest mitigations
• Monitor the implementation of Generative AI tools within the business, ensuring compliance with regulatory guidelines and internal policies
• Analyze the impact of U.S. and regional regulatory shifts and manage implementation efforts
• Develop and deliver training modules for business personnel on compliance topics
• Represent Compliance in divisional committees, such as the Best Execution and Product Review Committees

Experience/Skills

• University degree in Finance, Compliance, or a related field
• 1+ year of compliance or relevant financial services experience (Wealth Management or Product Compliance preferred)
• Knowledge of the U.S. regulatory environment (SEC, FINRA, CFTC)
• FINRA Series 7, Series 9/10 is highly preferred
• Knowledge of structured products, derivatives, and alternative investments
• Ability to analyze complex data sets and exercise sound judgment under pressure
• Excellent interpersonal and written communication skills

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.

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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