Asset & Wealth Management- Operations - Private Wealth Management - Client Onboarding Approver - Vice President- Dallas

YOUR IMPACT

Are you looking to apply your problem resolution and customer services skills while deepening your understanding of the Private Wealth Management (PWM) business? Our PWM Client Onboarding Approver team is seeking a Vice President Team Manager who is looking to oversee a team that will collaborate with PWM Advisor Teams, Legal, Compliance, and Anti Money Laundering to facilitate account opening and account maintenance for PWM Clients while providing superior client service and subject matter expertise to our business partners.

OUR IMPACT

Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm's assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.

PWM Client Onboarding is a highly regulated team that focuses on account documentation, data integrity, risk management, and regulatory requirements. PWM Client Onboarding is responsible for capturing all required information for regulatory compliance, firm policies, and to perform due diligence on all new clients. Client Onboarding works closely with PWM Advisor Teams, Legal, Compliance, and Anti Money Laundering and other Operations teams to ensure a positive client experience during the onboarding process.

HOW YOU WILL FULFILL YOUR POTENTIAL

• Oversee a team of PWM Client Onboarding Approvers
• Ensure the team is trained on regulations, processes, systems, and procedures for approving various account types including approving options and margin trading
• Monitor and improve team accuracy and productivity
• Drive strategy, procedure, and system improvements
• Assist as a subject matter expert in projects to improve the account opening workflow and process
• Understand the different client account structures and documentation required to establish new accounts
• Complete due diligence reviews of client screening for Anti Money Laundering & Know Your Client requirements
• Work closely with PWM Advisor teams to ensure all client documents are accurate and properly recorded
• Ensure downstream systems correctly recognize approved accounts, products, and services
• Resolve issues through coordination with PWM Teams, PWM Compliance, PWM Legal and Anti Money Laundering
  
  

SKILLS & EXPERIENCE WE ARE LOOKING FOR

BASIC QUALIFICATIONS

• Bachelor's degree
• Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications
• FINRA Series 7, 9, and 10, licenses
• 2+ years of people management experience
• Exceptional organization skills
• Good judgment and strong problem resolution skills
• Ability to multi-task and prioritize accordingly
• Experience managing client expectations
• Excellent communication and presentation skills

PREFERRED QUALIFICATIONS

• FINRA Series 4 license or willingness to obtain it upon hiring
• 5+ years financial industry experience (AML, Compliance or other Client On-boarding Regulatory experience)
• Foreign language skills

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.