The Compliance role at Goldman Sachs is based in New York and supports PWM Capital Markets within the Americas Wealth Management division. This position focuses on capital markets, equity structuring, and managed strategies, including derivatives and structured products. The role involves providing real-time advisory services, managing regulatory projects, and ensuring compliance with U.S. federal securities laws. The team is dedicated to maintaining high standards of compliance and risk management in financial products and services.

• A university degree in Finance, Compliance, or a related field is required.
• At least 1 year of compliance or relevant financial services experience is preferred.
• Knowledge of the U.S. regulatory environment, including SEC, FINRA, and CFTC, is necessary.
• Certifications such as FINRA Series 7 and Series 9/10 are highly preferred.
• Strong analytical skills and the ability to analyze complex data sets are essential.
• Excellent interpersonal and written communication skills are required.

• Maintain and update compliance policies, procedures, and control documentation.
• Provide day-to-day compliance advice on suitability standards for clients and product structuring.
• Conduct periodic forensic reviews and thematic compliance assessments.
• Coordinate and deliver supervisory reports to Desk Heads, highlighting potential conduct breaches.
• Execute trading and suitability surveillance to ensure compliance.
• Provide compliance sign-off for marketing materials and client communications.
• Participate in the design and approval process for new financial products.
• Monitor the implementation of Generative AI tools within the business.
• Analyze the impact of U.S. and regional regulatory shifts and manage implementation efforts.
• Develop and deliver training modules for business personnel on compliance topics.
• Represent Compliance in divisional committees, such as the Best Execution and Product Review Committees.

• Employees at Goldman Sachs are often offered comprehensive benefits, including medical, dental, life and disability coverage, generous vacation and holidays, and robust wellness resources such as EAP counseling, medical advocacy, on-site/virtual health services, and fitness support. Financial perks typically include retirement savings programs, live financial education, education support, and wealth-creation opportunities through equity awards and select investment programs. Many locations also provide family benefits (childcare resources, parental and family leaves, adoption/surrogacy support) and flexible work options like part-time schedules, job sharing, telecommuting, and alternate hours.