Goldman Sachs · 4 months ago
Compliance-Salt Lake City-Associate-PWM Compliance
Salt Lake City, Utah, 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 experienced Associate to join their Private Wealth Management Compliance team, responsible for ensuring compliance with regulations and firm policies while supporting various projects and processes.
BankingFinanceFinancial ServicesVenture Capital
Responsibilities
Interacting with the Private Bank business on a daily basis
Having knowledge and understanding of different rules and regulations and how they impact the PWM business (e.g., SEC, FINRA, DOL)
Reviewing marketing materials that are used to pitch PWM products and services to clients
Managing regulatory exams or audits related to the PWM IRA program
Developing and implementing policies, procedures, trainings, and best practices for PWM
Qualification
Required
Undergraduate degree required
3-4 years of relevant experience preferable
Strong knowledge of financial products
Knowledge of US regulatory environment and SEC/FINRA regulations
Proficiency with Microsoft Word, Excel, and PowerPoint
Excellent time management, analytical, and communication skills
Integrity, motivation, intellectual curiosity, and enthusiasm
Preferred
Graduate degree in law, business, or other relevant program
Outstanding graduate school and undergraduate credentials
At least three years of relevant post-undergraduate work experience, or, if holding a Masters, PhD, MBA, JD or equivalent, one to two years of relevant experience
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
2026-01-25
2026-01-25
2026-01-24
Company data provided by crunchbase