Compliance-New York-Analyst-Wealth Management Compliance

Goldman Sachs•New York, NY

21h•Onsite

About The Position

The Compliance Analyst role is based in New York and provides dedicated support to PWM Capital Markets within the Americas Wealth Management division. The role focuses on capital markets, equity structuring, and managed strategies, including derivatives, structured products, and new issue securities. The analyst will provide real-time advisory services (including product/trade approvals and cross border review), manage regulatory projects, update policies and procedures, conduct thematic compliance reviews and surveillances, and ensure that business activities align with U.S. federal securities laws.

Requirements

University degree in Finance, Compliance, or a related field.
1+ year of compliance or relevant financial services experience (Wealth Management or Product Compliance preferred).
Knowledge of the U.S. regulatory environment (SEC, FINRA, CFTC).
Knowledge of structured products, derivatives, and alternative investments.
Ability to analyze complex data sets and exercise sound judgment under pressure.
Excellent interpersonal and written communication skills.

Nice To Haves

FINRA Series 7, Series 9/10 is highly preferred.

Responsibilities

Maintain and update compliance policies, procedures, and control documentation.
Provide day-to-day compliance advice on suitability standards for retail and institutional clients and product structuring.
Conduct periodic forensic reviews and thematic compliance assessments.
Coordinate and deliver supervisory reports to Desk Heads, highlighting potential conduct breaches or emerging risks in the business.
Execute trading and suitability surveillance.
Provide compliance sign-off for marketing materials and client communications prepared for distribution to clients/prospects.
Participate in the design and approval process for new financial products, ensuring risk disclosures and conflict-of-interest mitigations.
Monitor the implementation of Generative AI tools within the business, ensuring compliance with regulatory guidelines and internal policies.
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.