Global PWM Compliance- Analyst

Job description

Job Summary & Responsibilities

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

PWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. The role of Compliance within PWM is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, help to reduce the firm’s regulatory and reputation risk, and reinforce the firm’s culture of compliance.

The PWM Compliance Team covers all compliance aspects for various PWM businesses. As   part of the team, the candidate's primary responsibilities will include:
• Perform compliance surveillance of investing and trading activities, regulatory requirements, applicable policies and procedures.
• Perform e-mail surveillance
• Draft and update policies and procedures
• Deliver compliance trainings
• Coordinate with the business areas, Legal, Technology and Operations to assist with new business initiatives and regulatory requirements
• Manage ad-hoc and long-term projects as required
• Provide advisory support to PWM business on a daily basis

Basic Qualifications

• University degree
• 1 - 3 years’ relevant experience, either in surveillance, compliance or controls/testing
• Strong knowledge of investment products and financial markets
• Strong project management and organization skills
• Good interpersonal skills and effective written/oral communication skills
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment

Preferred Qualifications

• Attention to detail
• Ability to handle multiple tasks and work under pressure
• Ability to draft logical reasoning scenarios and provide technical specification requirements

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2016. All rights reserved.