Wealth Management-Policy & Quality Assurance-Salt Lake City-Associate

Goldman Sachs•Salt Lake, UT

1d•Onsite

About The Position

The Policy Quality Assurance (PQA/KYC) function supports Wealth Management Operations by independently assessing the quality and completeness of client due diligence activities. The team operates in close partnership with Financial Crime Compliance (FCC) and Operations to ensure regulatory requirements are applied consistently and that data quality supports effective risk management. You will perform Quality Assurance (QA) reviews across client onboarding and ongoing due diligence activities within Wealth Management (WM), supporting the integrity of client data and adherence to regulatory requirements. The role requires strong analytical judgment to assess the completeness and accuracy of KYC records and to identify potential gaps, inconsistencies, or risks. You will work closely with Compliance and Operations teams to address findings and support consistent application of firm policies and standards.

Requirements

3+ years of relevant experience in KYC/AML/CDD, QA/QC, client onboarding, or periodic review
Strong analytical and problem-solving skills with a risk-aware mindset
Understanding of the client lifecycle and various account structures
Ability to independently review and identify discrepancies or gaps in KYC/CDD records
Strong understanding of KYC/CDD policies and ability to apply requirements in practice
Ability to effectively manage and engage stakeholders
High level of discretion when handling confidential information
Ability to prioritize, manage multiple tasks, and meet deadlines
Team-oriented with flexibility and adaptability
Proficiency in Microsoft Office tools (e.g., Excel, Word)
Strong written and verbal communication skills

Nice To Haves

Relevant certifications (e.g., CAMS or similar) are a plus

Responsibilities

Perform QA reviews on new and existing client KYC records across a range of entity types, assessing completeness, accuracy, and adherence to established quality standards
Evaluate client data and documentation in accordance with CIP, KYC, and CDD requirements, including assessment of source of wealth/funds, screening outputs, and risk indicators
Assess ownership structures and validate identification of ultimate beneficial owners and related parties in line with policy requirements
Identify and clearly articulate defects, gaps, or inconsistencies, with reference to applicable policy and procedural requirements
Maintain understanding of relevant FCC and regulatory requirements and apply updates to QA reviews as processes evolve
Deliver QA reviews within defined timelines while maintaining consistent quality standards
Partner with Operations and Compliance teams to resolve identified issues and support timely remediation
Develop subject matter familiarity in KYC/CDD policies and provide guidance on standard review scenarios
Engage effectively with stakeholders to clarify issues and communicate findings
Identify recurring issues or inefficiencies and provide input to improve QA processes and data quality outcomes
Support knowledge sharing and provide guidance to peers or junior team members where applicable