Compliance – Pwm Compliance – Associate
| Company | Goldman Sachs |
|---|---|
| Location | Dallas, TX, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Mid Level, Senior |
Requirements
- Bachelor’s degree required
- Three to five years of relevant experience
- 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
- 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, 9 and 10 or be willing and/or able to pass exams in a reasonable period of time
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 PWM business, Divisional Compliance, Legal and Operations teams on a daily basis
- Reviewing marketing materials that are used to pitch Wealth Management products and services to clients
- Advising Wealth Management teams on regulations, policies and client issues
- Participating in US PWM and Global Compliance projects and initiatives
Preferred Qualifications
-
No preferred qualifications provided.