Compliance, Private Wealth Management (PWM) Compliance, Associate, Chicago

Job Summary & Responsibilities

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities.

Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This supports the Private Wealth Management Business.

Responsibilities

• Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
• Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
• Interacting with the Midwest PWM business, Divisional Compliance, Legal and Operations teams on a daily basis
• Reviewing marketing materials that are used to pitch Private Wealth Management products and services to clients
• Advising Private Wealth Management teams on regulations, policies and client issues
• Participating in US PWM and Global Compliance projects and initiatives

Basic Qualifications

• Bachelor’s degree required
• Three years of relevant experience

Skills And Characteristics

• Experience with legal, regulatory and compliance issues in the financial industry
• Excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
• Work well under pressure and have a positive, hands-on, “can do” attitude
• Ability to devise and implement creative and innovative solutions
• Strong analytical and risk assessment skills as well as concise verbal and written communication skills
• Quick learner and self-starter, with the ability to work effectively with minimal supervision
• The ability to multi-task and adapt to new situations and a dynamic work environment

About Goldman Sachs

We are a leading global investment banking, securities and investment management firm. Founded in 1869, we are 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.

Salary Range

The expected base salary for this Chicago, IL, United States-based position is $65000-$120000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.