Wealth Management Operations-Policy & Quality Assurance-Transformation-Salt Lake City-Vice President

Wealth Management Operations-Policy & Quality Assurance-Transformation-Salt Lake City-Vice President Goldman Sachs - 3.9 Salt Lake City, UT Job Details 1 day ago Benefits Travel reimbursement Disability insurance Health insurance Dental insurance Adoption assistance Parental leave Employee assistance program Life insurance Childcare Qualifications KYC Succession planning Operations management Automation Operational risk management Regulatory compliance Data reporting Improving operational efficiency Compliance management implementation Change management Team development Analysis skills Policy & process development Quality assurance Continuous improvement Team management Decision making Industry knowledge of financial regulations Financial services Due diligence Root cause analysis Senior level AI Certified Anti-Money Laundering Specialist Escalation handling Leadership Communication skills Analytics Full Job Description

ABOUT WEALTH MANAGEMENT OPERATIONS

Wealth Management Operations supports the Wealth Management business by delivering strong operational risk management, high-quality execution, and regulatory confidence across the client lifecycle. The team partners closely with the business, FCC Compliance, and other stakeholders to ensure operational excellence and regulatory alignment.

THE ROLE

The Policy & Quality Assurance Vice President has responsibility for leading the U.S.-based Policy & Quality Assurance (PQA) function for Wealth Management Operations, with accountability for the quality, consistency, and credibility of quality assurance outcomes. The role provides oversight of client due diligence quality across Wealth Management and is accountable for quality assurance testing, workflow oversight, thematic risk identification, and policy implementation. This includes partnering closely with Financial Crime Compliance (FCC) and Operations leadership to strengthen operational risk management and regulatory confidence. The Vice President is expected to balance hands-on judgment on complex or sensitive matters with strong people leadership, prioritization, and risk ownership, ensuring that QA insights meaningfully inform senior decision-making. The role also has accountability to identify opportunities to evolve and modernize QA and policy-related workflows, including the responsible use of data, automation, or AI-enabled approaches, where they enhance efficiency, scalability, or risk coverage while maintaining strong governance and regulatory alignment.

KEY RESPONSIBILITIES

Provide oversight of Policy & Quality Assurance testing across diverse client types and account structures, ensuring consistent and accurate application of FCC-owned Know Your Client (KYC), Client Identification Program (CIP), and Customer Due Diligence (CDD) frameworks. Maintain ownership and oversight of QA sampling, workflow prioritization, and execution to ensure timely delivery against established service level agreements. Analyze QA outcomes to identify trends, themes, and potential systemic risks, distinguishing between isolated defects and broader process, system, or framework issues. Provide clear, senior-level insights through QA metrics and management reporting to support transparency, escalation, and informed decision-making. Serve as a primary point of engagement between Wealth Management Operations and Financial Crime Compliance, providing credible challenge and supporting effective policy interpretation and implementation. Oversee policy clarification and change management activities, including consolidation of questions from functional teams and communication of updates. Assess operational implications of new or updated policy requirements and ensure expectations are implemented consistently across Wealth Management. Own the articulation and escalation of thematic risks and control gaps, including framing root causes, business impact, and recommended actions for senior Operations and FCC leadership. Lead, coach, and develop team members while setting clear expectations for quality, judgment, and professionalism. Set direction and operating standards for the team, including quality thresholds, decision frameworks, and escalation discipline, and actively develop bench strength and succession. Drive continuous improvement of QA methodologies, controls, and operating practices to enhance efficiency, scalability, and quality outcomes. Partner with Operations, FCC, and data or technology stakeholders to evaluate and advance process improvements, including automation or AI-enabled solutions, applying strong judgment to ensure explainability, appropriate controls, and adherence to firm standards.

SKILLS & EXPERIENCE

Extensive experience in KYC, CIP, CDD, Quality Assurance, or related operational risk functions within financial services. Strong understanding of regulatory frameworks and the client due diligence lifecycle. Communication ability to translate detailed QA findings into clear themes and senior-level insights. Proven judgment in assessing risk, escalating issues, and engaging senior stakeholders. Strong analytical, organizational, and communication skills. Experience contributing to or leading operational transformation initiatives, including use of data, automation, or AI-enabled approaches to improve quality, risk management, or efficiency within a controlled environment. Significant relevant experience demonstrating sound judgment, leadership, and accountability in complex regulatory or operational environments. Professional certifications (e.g., CAMS) preferred. We Offer Best-In-Class Benefits Healthcare & Medical Insurance We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance. Holiday & Vacation Policies We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year. Financial Wellness & Retirement We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees' priorities. Health Services We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices. Fitness To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount). Child Care & Family Care We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available. Benefits at Goldman Sachs Read more about the full suite of class-leading benefits our firm has to offer. Opportunity Overview

CORPORATE TITLE

Vice President

OFFICE LOCATION

(S) Salt Lake City

JOB FUNCTION

Risk Governance

DIVISION

Asset & Wealth Management