Goldman Sachs · 5 months ago
Compliance, Private Wealth Management, Associate / Vice President, Houston TX
Houston, Texas, United States
Full-time
Onsite
Mid Level
3+ years expGoldman Sachs is a leading global investment banking, securities and investment management firm. They are seeking an Associate/Vice President for their Private Wealth Management Compliance team in Houston, where the primary responsibilities include monitoring compliance with regulations, assessing financial product suitability, and advising business units on compliance issues.
BankingFinanceFinancial ServicesVenture Capital
Responsibilities
Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
Interacting with the PWM business units, Divisional Compliance, Legal and Operations teams on a daily basis
Reviewing marketing materials that are used to pitch products and services to clients
Advising Private Wealth Management business units and teams on regulations, policies and client issues
Participating in US PWM and Global Compliance projects and initiatives
Qualification
Required
Bachelor's degree required
Three to five years of relevant experience
Have experience with legal, regulatory and compliance issues in the financial industry
Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
Work well under pressure and has a positive, hands-on, “can do” attitude
Be able to devise and implement creative and innovative solutions
Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
Be a quick learner and self-starter, with the ability to work effectively with minimal supervision
Have the ability to multi-task and adapt to new situations and a dynamic work environment
Hold the Series 7, 63, 9 and 10 or be willing and able to pass exams in a reasonable period of time
Benefits
Training and development opportunities
Firmwide networks
Benefits
Wellness and personal finance offerings
Mindfulness programs
Company
Goldman Sachs
Goldman Sachs is a multinational financial services firm providing securities, investment banking, and management services.
10001+ employees
H1B Sponsorship
Goldman Sachs has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (1954)
2024 (1685)
2023 (2060)
2022 (2326)
2021 (2258)
2020 (1572)
Funding
Current Stage
Public CompanyTotal Funding
$6B2025-04-23Post Ipo Debt· $6B
2012-06-05Post Ipo Equity
1999-05-14IPO
Leadership Team
David M. Solomon
Chair and Chief Executive Officer
John Waldron
President and Chief Operating Officer
Recent News
2026-01-17
2026-01-17
Investing.com
2026-01-17
Company data provided by crunchbase