Asset & Wealth Management-New York-Vice President-7312902

Job Duties: Vice President with Goldman Sachs & Co. LLC in New York, New York. Work closely with clients and private wealth advisors to understand the nature of client equity holdings while also identifying the relevant securities law and contractual considerations to develop a holistic risk management plan. Work as part of a global team to provide guidance on restricted and control stock. Lead efforts around pre-clearance for clients transacting in restricted and control stock. Advise clients on the relevant planning considerations in pre-IPO, pre-deSPAC and pre-M&A situations. Prepare and maintain written resources around restricted stock, including suite of client and GS representation letters and policies and procedures. Provide operational guidance on client situations involving restricted securities. Help maintain records and transaction details related to restricted stock execution. Prepare internal reports on a variety of topics, such as business updates, metrics, and competitor analysis.

Job Requirements: Bachelor's degree (U.S. or foreign equivalent) in Finance, Accounting, Economics, or a relevant field including Law and five (5) years of experience in the job offered or in a related role. Prior experience must include five (5) years with the following: securities laws, including Securities Act of 1933, Securities Exchange Act of 1934 and other laws governing the securities industry; reviewing and interpreting SEC filings, including offering documents, proxy statements, prospectuses, SEC reports on Forms 10-K, 10-Q and 8-K, and beneficial ownership filings; navigating EDGAR and utilizing various search functionality therein to locate securities laws filings and conduct in-depth research on an IPO or M&A transaction; working on corporate and securities law issues with law firms or in-house counsel; experience with M&A transactions, including stock sale and purchase agreements, spin-offs and other liquidity events resulting from M&A and IPO transactions; drafting memos and email correspondence summarizing the details and implications of securities laws filings relating to both IPO and M&A transactions; and advising clients and management on the details and implications of securities laws filings relating to both IPO and M&A transactions. FINRA Series 7 and Series 63 required or must obtain within six (6) months of hire.

Salary Range: Annual base salary for this New York, New York -based position is $180,000 - $210,000.

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