Compliance, Private Wealth Management PWM, Vice President, Miami

Goldman Sachs•Miami, FL

81d•Onsite

About The Position

Global Compliance is a division that prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm. It operates as an independent control function, part of the firm’s second line of defense, assessing risk, monitoring compliance with laws and regulations, designing controls and policies, conducting testing, investigating breaches, and managing regulatory examinations. This role specifically supports the Private Wealth Management (PWM) business and is based in Miami. The Vice President will focus on ensuring compliance with regulatory and internal controls, assessing financial product suitability, interacting with business and support teams, reviewing marketing materials, advising PWM teams, and participating in projects.

Requirements

Bachelor’s degree required
At least five years of relevant experience
Experience with legal, regulatory and compliance issues in the financial industry
Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
Work well under pressure and has a positive, hands-on, “can do” attitude
Be able to devise and implement creative and innovative solutions
Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
Ability to speak and read Portuguese and/or Spanish
Be a quick learner and self-starter, with the ability to work effectively with minimal supervision
Have the ability to multi-task and adapt to new situations and a dynamic work environment
Hold the Series 7, 63. 9 and 10 or be willing and able to pass exams in a reasonable period of time

Responsibilities

Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
Interacting with the Florida PWM business, Divisional Compliance, Legal and Operations teams on a daily basis
Reviewing marketing materials that are used to pitch Private Wealth Management products and services to clients
Advising Private Wealth Management teams on regulations, policies and client issues
Participating in US PWM and Global Compliance projects and initiatives