Compliance, PWM Compliance Advisory Analyst, Zurich
- Zurich, Switzerland
- Permanent, Full time
- Goldman Sachs International
- 19 Aug 17
See job description for details
MORE ABOUT THIS JOB
A position where you will help ensure the firm is compliant with the appropriate rules and regulations within the private banking and wealth management industry. We're looking for a professional to join our Private Wealth Management (PWM) Compliance team, who wants to use their experience to provide world class advisory and compliance guidance to our PWM business.
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Zurich, Tokyo, Hong Kong and other major financial centers around the world. Global Compliance interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. 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.
HOW YOU WILL FULFILL YOUR POTENTIAL
PWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. The role of Compliance within PWM is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, help to reduce the firm's regulatory and reputation risk, and reinforce the firm's culture of compliance. The Swiss Advisory team is a part of the Global PWM Compliance team with other team members in London, New York, Hong Kong, Singapore and Frankfurt. The Swiss Advisory team primarily focuses on supporting the PWM business with respect to: account opening (both traditional and non-traditional); review and approval of marketing materials; complex trade approvals (margin and lending); review of client complaints and providing on-going day to day advice to the Swiss PWM Business
RESPONSIBILITIES AND QUALIFICATIONS
- Working in collaboration with the PWM Swiss and London advisory compliance team to deliver day to day advisory functions including but not limited to: Post- and Pre-Trade surveillance and compliance monitoring of business activity, including cross-office surveillance and review of automated surveillance reports Review and approval of marketing materials prepared for distribution to clients/prospects Maintaining and monitoring record keeping requirements / audit trails / file note review Review complex trade approvals (including Margin and Lending)
- Working in collaboration with the PWM Swiss and EMEA Compliance Team and Global PWM Compliance colleagues in the delivery of Compliance investigative trade and client reviews, and targeted forensic surveillance, including but not limited to: Focused Conduct Risk reviews including review of emails, client files and discussions with PWM professionals Forensic review including E-Surveillance and email traffic
- University degree and/or professional compliance / financial services qualification
- Strong investigative, analytical and problem solving skills with the ability to exercise sound and balanced judgment
- Good interpersonal skills and effective written/oral communication skills (fluent English; German/French is of substantial benefit)
- Excellent attention to detail
- Proficient in MS office tools including strong knowledge of MS-Excel
- Ability to handle multiple tasks and work under pressure
- Ability to work both independently and as part of a team
- Knowledge of Swiss and EU regulatory environment is advantageous
- Knowledge of products and trading strategies used by PWM, e.g. structured products, alternative investments, derivative is advantageous
- Private wealth management / product compliance experience preferred.
ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.