Compliance, Private Wealth Management, Vice President, Miami

Miami, FL - USA

Monthly Salary: Not Disclosed

Posted on: 2 days ago

Vacancies: 1 Vacancy

Job Summary

Description

Global Compliance

Our division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense Compliance assesses the firms 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 firms responses to regulatory examinations audits and inquiries. Youll 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.

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.

Private Wealth Management Compliance is seeking a Vice President to join our team and be based out of our Miami office. As part of this team the primary responsibilities will include:

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 Florida 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:

Bachelors degree required
At least five years of relevant experience

Skills and Characteristics:

An ideal candidate should:

Have experience with legal regulatory and compliance issues in the financial industry
Possess excellent interpersonal skills - team player able to forge relationships build consensus and influence decisions
Work well under pressure and has a positive hands-on can do attitude
Be able to devise and implement creative and innovative solutions
Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
Ability to speak and read Portuguese and/or Spanish
Be a quick learner and self-starter with the ability to work effectively with minimal supervision
Have the 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. 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. Were 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

Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race color religion sex national origin age veterans status disability or any other characteristic protected by applicable law.

Required Experience:

Exec

DescriptionGlobal Compliance Our division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an ind...

Description

Global Compliance

Job Summary & Responsibilities

Private Wealth Management Compliance is seeking a Vice President to join our team and be based out of our Miami office. As part of this team the primary responsibilities will include:

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 Florida 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:

Bachelors degree required
At least five years of relevant experience

Skills and Characteristics:

An ideal candidate should:

Have experience with legal regulatory and compliance issues in the financial industry
Possess excellent interpersonal skills - team player able to forge relationships build consensus and influence decisions
Work well under pressure and has a positive hands-on can do attitude
Be able to devise and implement creative and innovative solutions
Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
Ability to speak and read Portuguese and/or Spanish
Be a quick learner and self-starter with the ability to work effectively with minimal supervision
Have the 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

Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

Required Experience:

Exec

Key Skills

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About Company

Goldman Sachs

The Goldman Sachs Group, Inc. is a leading global investment banking, securities, and asset and wealth management firm that provides a wide range of financial services.

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