Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London
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Job Description
The Compliance role is based in London and focuses on capital markets, equity structuring, and managed strategies (including derivatives, structured products, new issue securities, centrally managed strategies). Responsibilities include providing product‑related compliance advice, project management, updating policies, monitoring, thematic compliance reviews, product/trade approvals, and post‑trade surveillance.
Functional Responsibilities
- Provide advice to the business on live queries and/or transactions
- Conduct trading and suitability surveillance
- Provide compliance input in product design and approvals
- Develop and implement compliance‑related policies and procedures
- Review and sign‑off marketing materials prepared for distribution to clients / prospects
- Manage compliance‑led projects and represent PWM Divisional Compliance on firm‑wide and cross‑regional projects and working groups
- Conduct impact analysis and implementation of regulatory changes affecting the PWM business
- Develop and deliver training for business personnel
- Represent compliance in divisional committees, such as the Order Execution Review Committee
- Conduct programmatic reviews such as thematic reviews for best execution monitoring and other ad hoc compliance forensics
Basic Qualifications and Skills
- University degree and/or professional compliance / financial services qualification
- 5+ years of compliance or other relevant financial services experience (private wealth management / retail client experience preferred)
- Strong product knowledge and trading strategies used by PWM (e.g., structured products, OTC derivatives)
- Detailed knowledge of the local regulatory environment
- Knowledge of other European or international regulatory regimes is an advantage
- Experience conducting trade surveillance or equivalent monitoring activity
- Strong interpersonal and effective written/oral communication skills
- Strong analytical and problem‑solving skills with the ability to exercise sound and balanced judgment
- Attention to detail
- Ability to handle multiple tasks and work under pressure
- Team player
- Good proficiency in Microsoft Excel, PowerPoint and Word
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. 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. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.
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.
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