Regulatory Analyst

Vor 7 Tagen

Zürich, Zürich, Schweiz Goldman Sachs Vollzeit

About Goldman Sachs

At Goldman Sachs, we are a leading global investment banking, securities and investment management firm. Our commitment to our clients, shareholders and the communities we serve drives our success. We believe that our people, capital and ideas are the key to helping our clients and communities grow.

Our Impact

We are seeking a Compliance Specialist to join our Private Wealth Management (PWM) Compliance team in Zurich. As a Compliance Specialist, you will play a critical role in ensuring that our business activities are conducted in compliance with regulations and firm policies. You will work closely with our PWM Swiss, London and European Compliance teams to deliver day-to-day post- and pre-trade surveillance and compliance monitoring of business activity.

Responsibilities

  • Collaborate with the PWM Swiss, London and European Compliance teams to deliver day-to-day post- and pre-trade surveillance and compliance monitoring of business activity to assist observance of market conduct rules and the Swiss Financial Services Act.
  • Review and approval of marketing materials prepared for distribution to clients/prospects; review of travel activity and assessment of cross-border situations.
  • Monitoring of record-keeping requirements/approvals, creation or update of procedures.
  • Support internal and external audit preparation work.
  • Forensic reviews and internal investigations by the more senior compliance officers.

Requirements

  • Swiss University degree/diploma or certification in either law or compliance (Bachelor or Master).
  • Professional compliance/financial services experience would be a plus, but is not a must – training will be provided on the job by the team.
  • Native German and oral skills in English.
  • Excellent attention to detail.
  • Proficient in MS Office tools, including strong knowledge of Excel.
  • Knowledge of or interest in products and trading strategies used in Private Wealth Management, structured products, alternative investments, derivatives is advantageous.

About You

We are looking for a professional or recent graduate who wants to use their drive, enthusiasm and abilities to provide compliance advisory and compliance surveillance to our PWM business. You will 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.

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