Job Description

LEGAL

We work at the intersection of finance and law, providing counsel and advice that support activities across the firm. We handle litigation and arbitration, perform research and due diligence, aid in financing and legal filings, deal with contracts and intellectual property rights that show our commitment to clients, shareholders, and regulators. Whether you’re an experienced attorney or a quick learner with a strong interest in financial law coupled with critical thinking skills, our dynamic group might be right for you.

ROLE OVERVIEW

This individual will cover the Private Wealth Management business, including a full service brokerage and investment advisory business, offering a range of products, including margin, underwritings, structured notes, special investments, investment advice, managed accounts, trust services and a dedicated website. Attorneys are responsible for keeping current with legal/regulatory developments, assisting with restricted stock trades and 10b5-1 plans, assisting with policies and procedures, supporting regional offices by answering questions from compliance, investment professionals, regional managers, operations and technology staff. This individual will also work with business management in developing new products and service offerings in compliance with regulatory and business requirements. 

RESPONSIBILITIES

• Provide broad coverage to specific PWM offices, including advice on compliance, technology, operations, errors, and regulatory inquiries.
• Remain current with regulatory changes and developments
• Work with business, compliance, technology and operations to handle new products and services
• Update account agreements, Reg BI disclosures and other disclosures                                             
• Work closely with legal counterparts in litigation, ERISA, global markets and investment banking to provide advice on a variety of securities related matters

QUALIFICATIONS

• General securities or broker-dealer regulatory experience
• At least 5 years in a large law firm or in-house experience

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 GS.com/careers. 

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2024. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Salary Range

The expected base salary for this New York, New York, United States-based position is $170000-$270000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.

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