- Provide advice to the business on live queries and/or transactions
- Conducting trading and suitability surveillance
- Providing Compliance input in product design and approvals
- Development and implementation of compliance-related policies and procedures
- Providing review and sign-off of marketing materials prepared for distribution to clients and prospects
- Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
- Help develop the compliance programme for the growing business in the region
- Impact analysis and implementation of regulatory changes affecting the WM business
- Develop and deliver training for business personnel
- Periodic supervisory reviews with the desk heads in the region
- University degree and/or professional compliance / financial services qualification
- 5+ years' compliance or other relevant financial services experience. Private wealth management / retail client experience preferred.
- Strong product knowledge and understanding of trading strategies used by PWM, . structured products, alternative investments, derivatives
- Detailed Knowledge of MENA regulatory environment and local rules
- Any knowledge of other international regulatory regimes an advantage
- Experience of conducting trade surveillance or equivalent monitoring activity
- Good interpersonal skills 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
- As a minimum, good proficiency in Microsoft Excel, Power Point and Word
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Compliance, Private Wealth Management Compliance, Vice President, Dubai - Goldman Sachs
Description
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. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defence, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. 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.
Your Impact:
Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This role supports the growing Wealth Management Business unit in the MENA region.
Responsibilities:
SKILLS & EXPERIENCE WE'RE LOOKING FOR
BASIC QUALIFICATIONS
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, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at /careers.
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.
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