Compliance-New York-Analyst-Wealth Management Compliance

Overview Compliance - New York - Analyst - Wealth Management Compliance located in New York, NY, United States. The Compliance role is based in New York and provides dedicated support to PWM Capital Markets within the Americas Wealth Management division. The role focuses on capital markets, equity structuring, and managed strategies, including derivatives, structured products, and new issue securities. You will provide real-time advisory services (including product/trade approvals and cross border review), manage regulatory projects, update policies and procedures, conduct thematic compliance reviews and surveillances and ensure that business activities align with U.S. federal securities laws. Responsibilities Policy & Procedure Management: Maintain and update compliance policies, procedures and control documentation Regulatory Advisory: Provide day-to-day compliance advice on suitability standards for retail and institutional clients and product structuring Forensic Reviews: Conduct periodic forensic reviews and thematic compliance assessments Supervisory Reporting: Coordinate and deliver supervisory reports to Desk Heads, highlighting potential conduct breaches or emerging risks in the business Surveillance & Monitoring: Execute trading and suitability surveillance Marketing Review: Provide compliance sign-off for marketing materials and client communications prepared for distribution to clients/prospects Product Governance: Participate in the design and approval process for new financial products, ensuring risk disclosures and conflict-of-interest mitigations GenAI Oversight: Monitor the implementation of Generative AI tools within the business, ensuring compliance with regulatory guidelines and internal policies Regulatory Change Management: Analyze the impact of U.S. and regional regulatory shifts and manage implementation efforts Training: Develop and deliver training modules for business personnel on compliance topics Committee Representation: Represent Compliance in divisional committees, such as the Best Execution and Product Review Committees Experience / Qualifications Education: University degree in Finance, Compliance, or a related field Experience: 1+ year of compliance or relevant financial services experience (Wealth Management or Product Compliance preferred) Regulatory Knowledge: Knowledge of the U.S. regulatory environment (SEC, FINRA, CFTC) Certifications: FINRA Series 7, Series 9/10 is highly preferred Product Knowledge: Knowledge of structured products, derivatives, and alternative investments Analytical Skills: Ability to analyze complex data sets and exercise sound judgment under pressure Communication: 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. Learn more about our culture, benefits, and people at GS.com/careers. 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. Healthcare & Medical Insurance We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance. We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year. Financial Wellness & Retirement We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities. Health Services We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices. Fitness To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount). Child Care & Family Care We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available. Benefits at Goldman Sachs Read more about the full suite of class-leading benefits our firm has to offer. #J-18808-Ljbffr Goldman Sachs Bank AG