New York City

Goldman Sachs•New York, NY

19d

About The Position

The Legal Division is looking for an attorney with 6+ years’ experience to join the Global Banking and Markets Legal team in New York, NY or Dallas, TX. The key responsibilities of the position will be supporting Goldman Sachs’ custody business for registered investment advisors (RIA Custody business). The RIA Custody business is an execution, clearing and custody platform that serves independent RIAs.

Requirements

6+ years of relevant legal experience post JD.
Strong knowledge of SEC and FINRA rules governing broker-dealers.
Knowledge of the SEC and state rules governing investment advisers is a plus.
In-house experience in a RIA Custody business is a significant plus.
Strong legal and business judgment, writing and analytical skills.
Excellent interpersonal and communication skills; the ability to clearly articulate ideas and develop stakeholder relationships.
A fast learner who is excited about learning something new outside of their comfort zone.
Excellent organizational skills with the ability to manage several simultaneous projects under deadlines in a fast-paced environment.
In-house experience at a broker-dealer or registered investment advisor in legal or compliance
Experience at a federal regulator or self-regulatory organization
Outstanding law firm credentials

Nice To Haves

In-house experience at a broker-dealer or registered investment advisor in legal or compliance
Experience at a federal regulator or self-regulatory organization
Outstanding law firm credentials

Responsibilities

Advise on the strategy, development, integration and expansion of the RIA Custody business, including legal and regulatory analysis of existing products and new initiatives.
Assist the client services teams in dealing with our clients’ requests.
Assist Compliance in producing responses to regulatory inquiries.
Communicate with various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the business.
Provide education and direction to other departments on the application of rules and regulations.
Create and negotiate agreements that relate to brokerage and custody services.
Manage outside counsel.
Collaborate across control groups to drive execution and ensure consistency in risk management.

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