Front-line Associate Regional Compliance Manager, PWM Compliance

The role of the Associate Regional Compliance Manager within PWM is to partner with the business in each regional office 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.

Responsibilities:
• Primary compliance responsibility for Private Wealth Management business in the Miami office
• Advise the Private Wealth Advisors and Regional Manager on rules, regulations and firm policies
• Conduct account and trade surveillance
• Review and approve client correspondence and marketing materials
• Resolve trade errors and trade booking issues
• Resolve client issues and inquiries
• Conduct compliance training of PWM personnel in the office
• Review new clients
• Interact with Divisional Compliance on various compliance related issues and projects
• Communicate regularly with Compliance Management to update on office issues, outstanding open surveillance exceptions and compliance projects

Experience Requirements:
• Spanish and Portuguese language skills
• 5+ years financial services experience in compliance; experience working within a regulatory organization would be applicable
• Experienced leader
• Strong knowledge of complex investment products (currency strategies, derivatives, hedge funds, structured products, etc.)
• Knowledge of applicable securities regulations, US and non-US jurisdictions (in particular, Latin America)
• Training experience preferred
• College degree
• Series 7/63 and Series 9/10 required

Skills and Characteristics:
• High energy and focus with the ability to handle a variety of issues
• Strong analytical skills, attention to detail and ability to exercise balanced judgment
• Must work well in a team but also exhibit strong leadership capabilities in order to help drive solutions to complex issues
• Positive, hands-on attitude
• Excellent communication and influencing skills
• Motivated and adaptable; able to respond creatively and quickly in a fast-paced environment
• Ability to manage client expectations and competing priorities

To apply, please send your resume to: Marjorie.Frobeen@gs.com and indicate "Job Title" in the subject line.

Please note that we will only respond to those resumes for which we have an interest. Goldman Sachs is an Equal Employment Opportunity Employer and does not discriminate in employment on the basis of age, race, color, gender, national origin, disability, veteran status, or any other basis that is prohibited by applicable law.