AWM, Private Bank, Capital Markets Lending (Securities- Based Lending), Vice President- NYC

Role Overview

The Vice President, Capital Markets (Securities-Based Lending) is a high-impact role responsible for delivering market-based financing solutions to UHNW clients. You will partner with Private Wealth Advisors to originate, structure, and manage sophisticated securities-based lending (SBL) solutions while maintaining rigorous risk and control standards. Based within the Private Bank's Capital Markets platform, this role requires a solutions-oriented approach to complex lending in a fast-paced market environment.

Key Responsibilities

• Origination & Client Engagement: Accelerate Securities-Based Lending (SBL) activity by cultivating strategic partnerships with Private Wealth Advisors. Lead prospect and client meetings to position Capital Markets capabilities and deliver tailored financing solutions for complex UHNW needs.
• Structuring & Strategic Advisory: Design sophisticated, platform-agnostic lending structures (Regulation U and Regulation T) secured by U.S. and non-U.S. listed securities, including affiliate and restricted stock, while aligning with firm risk appetite and market conditions.
• Credit Execution & Portfolio Oversight: Act as the first line of defense by pre-screening opportunities and preparing comprehensive credit memos. Coordinate the approval process and manage ongoing portfolio monitoring to ensure credit quality.
• Margin & Risk Leadership: Lead resolution efforts for margin calls and market-driven risk scenarios. Ensure disciplined execution, timely escalation, and proactive communication during periods of market volatility.
• Growth & Platform Strategy: Identify and execute strategic growth opportunities to expand the Capital Markets lending platform and enhance product delivery.
• Governance & Compliance: Ensure strict adherence to credit policies, regulatory requirements, and internal control frameworks to maintain a robust risk culture.
• Stakeholder Management: Proactively manage expectations with clients and internal partners (Risk, Legal, and Product teams) to ensure a premier, seamless client experience.

Experience & Skills

• UHNW Lending Expertise: Significant experience in HNW/UHNW lending, with a focus on SBL/Margin origination, structuring, and credit analysis.
• Technical & Regulatory Proficiency: Deep understanding of Regulation T, Regulation U, margin rules, and collateral mechanics, including familiarity with derivatives and structured products.
• Analytical Rigor: Proven ability to structure complex, client-specific financing within a disciplined risk and control framework.
• Communication & Influence: Exceptional written and verbal skills, with the ability to partner effectively across coverage, risk, and product teams.
• Ownership Mindset: A collaborative, high-accountability approach suited for a high-performing, client-driven environment.
• Specialized Assets: Experience lending against controlled or restricted equity positions is highly preferred.
• Education: Bachelor's degree required (or equivalent professional experience).

Required Licensing

Series 7, Series 63, and SIE or must be obtained within four months of joining the firm

Equal Employment Opportunity Statement

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity