Compliance Risk Manager, Private Wealth Management

1 month ago

London, Greater London, United Kingdom Goldman Sachs Full time
Job Description

At Goldman Sachs, we are committed to protecting the reputation of the firm, managing risk, and advancing the business. As a Compliance Risk Manager, Private Wealth Management, you will be part of a team dedicated to ensuring compliance with regulatory requirements and identifying opportunities for growth.

Key Responsibilities
  • Provide guidance on conducting business in compliance with applicable rules, regulations, and policies.
  • Identify and assess compliance risks associated with business processes and practices.
  • Review and approve marketing materials for distribution to clients.
  • Perform thematic forensic reviews and analyze errors and customer complaints.
  • Support internal and external audit preparation work and provide training on applicable compliance requirements.
  • Partner with Legal, Business Personnel, Compliance Officers, and other stakeholders to identify, review, and implement new regulations.
  • Participate in global and region-specific strategic projects to provide comprehensive Compliance inputs and drive Compliance-owned deliverables.
Requirements
  • Minimum of 6 years of experience as a compliance officer or in a risk management role, ideally with a nexus to Private Wealth.
  • Bachelor's degree or higher in Law, Economics, Finance, or Master's degree or MBA a plus, but not required.
  • Detailed knowledge of the UK regulatory environment and FCA rules.
  • Any knowledge of other European or international regulatory regimes an advantage.
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Entrepreneurial inclination - ability to work alone and act as project manager.
  • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.
About Goldman Sachs

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.

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