Compliance-LONDON-Vice President-Private Wealth Management Compliance

Goldman Sachs
London, United Kingdom
08 May 2022
07 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally. From collaborative work spaces and mindfulness classes to working from home and flexible work options, we offer our people the support they need to reach their goals in and outside the office.
Goldman Sachs Private Wealth Management (PWM) specializes in creating comprehensive wealth management plans for high net worth individuals and families, as well as select institutions, including foundations and endowments. As part of PWM Compliance, your role will be focused on providing advise to business based on regulations and policies, performing various control reviews and thematic Compliance reviews, approving products, assessing suitability and reviewing for complex account set up, rule interpretation and implementation. You will also participate in region-wide and global initiatives and strategic business projects.
Functional Responsibilities:
  • Provide advice on how to conduct the firm's business in a manner that complies with the comprehensive array of rules, regulations and policies applicable to our business
  • Identify Compliance risk associated with business processes and practices including review and potential enhancements of existing controls
  • Review and approval of marketing materials prepared for distribution to clients
  • Perform thematic forensic reviews
  • Review of errors and customer complaints
  • Support internal and external audit preparation work
  • Provide training on applicable compliance requirements
  • Identify, review and implementation of new regulations by partnering with Legal, Business Personnel, Compliance Officers and other stakeholders
  • Participation in various global and region specific strategic projects to provide comprehensive Compliance inputs and drive Compliance owned deliverables
  • As needed, support development and analysis of existing and new policies, standards and processes to ensure compliance with applicable regulations and requirements
  • Advise, challenge and influence stakeholders teams as required in relation to regulations, policies and reputational risk
Qualifications and skills:
  • Minimum of 6 years of experience as a compliance officer, in a risk management role, ideally with a nexus to Private Wealth.
  • Bachelor's degree or higher in Law, Economics, Finance or Master's degree or MBA a plus, but not required
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written/oral communication skills.
  • Ability to work with a variety of senior and junior people, and build smooth working relationships.
  • Highest attention to detail.
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone and act as project manager
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under tight deadlines


At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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