Compliance Division, Pwm Compliance, Vp

Vor 5 Tagen

Fribourg, Schweiz Goldman Sachs Vollzeit

**YOUR IMPACT**

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 Zurich-based Private Wealth Management (PWM) Compliance team, who wants to use their drive, enthusiasm and abilities to provide world class compliance advisory coverage to our PWM business.

**OUR IMPACT**

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 and Geneva, 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 team within Global Compliance that services the Private Wealth Management area within the Consumer and Wealth 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 Compliance 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 Compliance team primarily focuses on supporting the PWM business with respect to: travel and cross-border topics; client onboarding across a diverse range of client jurisdictions and legal structures; review and approval of marketing materials; trade surveillance and approvals including complex products; review of errors and client complaints; training on new rules and regulations, internal policies and conduct risk; and providing on-going day to day support and advice to the Swiss PWM Business.

**Role Responsibilities**:

- Working in collaboration with the PWM Swiss client coverage teams and management, to provide Compliance expertise and guidance on handling complex client situations, cross border activity and marketing, client transactions and business led initiatives and projects.
- Working in collaboration with the PWM Swiss compliance team and broader EMEA Compliance team to deliver day to day advisory functions including:

- Providing regulatory and policy guidance to PWM professionals, across the range of PWM activities.
- Development, implementation and advice on compliance-related policies and procedures.
- Performing forensic surveillance and assisting in the resolution of system generated surveillance alerts.
- Providing regulatory advice on new initiatives and projects, working closely with Global Compliance, including provision of Swiss regulatory expertise and input.
- Providing support to the PWM business through core PWM Compliance activities, including:

- Conducting trading and suitability surveillance using automated surveillance systems and forensic investigations.
- Reviewing and approving client account and trade activity from a suitability perspective.
- Analysis of cross border regulations to understand viability of offering PWM’s investment services into the multiple jurisdictions where PWM has a presence.
- Providing support for / responding to general compliance-related queries

**Basic Q **ualifications**:

- University degree and/or professional compliance / financial services qualification
- 5+ years’ compliance or other relevant financial services experience, preferably in the private client / private wealth segment
- Strong investigative, analytical and problem solving skills with the ability to exercise sound and balanced judgment
- Excellent interpersonal skills and effective written/oral communication skills
- Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
- Excellent attention to detail
- fluent English; German/French is of substantial benefit (role based in Zurich)
- Proficient in MS office tools including strong knowledge of MS-Excel
- Ability to handle multiple tasks and work under pressure
- Strong team player, with ability to work both independently and as part of a team

**Preferred Qualifications**:

- Knowledge of Swiss and E

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