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- Tasks: Provide compliance advice and support for innovative investment solutions in private wealth management.
- Company: Join Goldman Sachs, a leading global investment banking and securities firm.
- Benefits: Diverse opportunities for growth, wellness programs, and a supportive work environment.
- Why this job: Make an impact in capital markets while working with a dynamic team.
- Qualifications: 5+ years in compliance or financial services, strong analytical skills, and team player mentality.
- Other info: Exciting projects and career advancement in a collaborative culture.
The predicted salary is between 43200 - 72000 £ per year.
The Compliance role is based in London and will have a particular focus on capital markets, equity structuring and managed strategies offering (including derivatives, structured products, new issues securities, centrally managed strategies).
Responsibilities will include providing product related compliance advice, project management, updating policies, monitoring, thematic compliance reviews, product/trade approvals and post trade surveillances.
Market Solutions Group Compliance works closely with the business to deliver to Private Wealth clients a broad array of investment solutions and to customize them to fit client's needs. This role will provide product related compliance advice and support to the PWM business. Specific tasks would include conducting compliance surveillance, review of marketing materials and training, product and trade approvals as well as advisory and, to a limited extent, project work.
FUNCTIONAL RESPONSIBILITIES
- Provide advice to the business on live queries and/or transactions
- Conducting trading and suitability surveillance
- Providing Compliance input in product design and approvals
- Development and implementation of compliance-related policies and procedures
- Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
- Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
- Impact analysis and implementation of regulatory changes affecting the PWM business
- Develop and deliver training for business personnel
- Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee
- Conduct programmatic reviews such as thematic reviews for Best Execution monitoring and other ad hoc compliance forensics
SKILLS & EXPERIENCE WE'RE LOOKING FOR
- University degree and/or professional compliance / financial services qualification
- 5+ years' compliance or other relevant financial services experience. Private wealth management / retail client experience preferred.
- Strong product knowledge and trading strategies used by PWM, e.g. structured products, OTC derivatives
- Detailed Knowledge of local regulatory environment
- Any knowledge of other European or international regulatory regimes an advantage
- Experience of conducting trade surveillance or equivalent monitoring activity
- Good interpersonal skills and effective written/oral communication skills.
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
- Attention to detail
- Ability to handle multiple tasks and work under pressure
- Team player
- As a minimum, good proficiency in Microsoft Excel, Power Point and Word
Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London employer: Goldman Sachs, Inc.
Contact Detail:
Goldman Sachs, Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of capital markets and compliance regulations. Be ready to discuss specific scenarios where you've provided compliance advice or conducted trade surveillance. Show them you’re the expert they need!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and tailor your approach to each one. Quality over quantity, folks!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share any additional insights or thoughts you have about the role to reinforce your interest and expertise.
We think you need these skills to ace Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Private Wealth Management Compliance Officer role. Highlight your relevant experience in compliance, especially in capital markets and trading strategies. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance in private wealth management. Share specific examples of your past work that demonstrate your skills and how they relate to the role at StudySmarter.
Showcase Your Analytical Skills: Since this role requires strong analytical abilities, make sure to include examples of how you've used these skills in previous positions. Whether it's conducting trade surveillance or managing compliance projects, we want to see your problem-solving prowess!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensure it gets the attention it deserves. Don’t miss out on this opportunity!
How to prepare for a job interview at Goldman Sachs, Inc.
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to capital markets and private wealth management. Be ready to discuss specific examples of how you've navigated compliance challenges in the past.
✨Showcase Your Analytical Skills
Prepare to demonstrate your analytical and problem-solving abilities. Think of scenarios where you've had to exercise sound judgment under pressure, and be ready to share these experiences during the interview.
✨Familiarise Yourself with the Role
Dive deep into the job description and understand the key responsibilities. Be prepared to discuss how your previous experience aligns with tasks like conducting trade surveillance and providing compliance input in product design.
✨Communicate Effectively
Since strong communication skills are essential for this role, practice articulating your thoughts clearly and concisely. Consider preparing a few questions about the company culture and team dynamics to show your interest and engagement.
