Compliance Associate Jobs in California

Global Compliance

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.

Job Summary & Responsibilities

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This supports the Private Wealth Management Business.

Private Wealth Management Compliance is seeking an Associate to join our team and be based out of our San Francisco office. As part of this team, the primary responsibilities will include:

• 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

Basic Qualifications:

• Bachelor’s degree required
• Three years of relevant experience

Skills and Characteristics:

An ideal candidate should:

• Have 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
• 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, 9 and 10 or be willing and able to pass exams in a reasonable period of time

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Holiday & Vacation Policies
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Opportunity Overview

CORPORATE TITLE

Associate

OFFICE LOCATION(S)

San Francisco

JOB FUNCTION

Business Unit Compliance

DIVISION

Compliance Division

SALARY RANGE

USD 85,000 - 140,000

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.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.