Asset & Wealth Management, Private Wealth Management, Equity Structuring, Associate - Dallas

YOUR IMPACT

Equity Structuring is currently seeking an Associate to work as part of the Single Stock Structuring team with a focus on 10b5-1 Plans, Executive Selling and Restricted Stock.

OUR IMPACT 

Wealth Management

Across Wealth Management, Goldman Sachs helps empower clients and customers around the world to reach their financial goals. Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees.  Our consumer business provides digital solutions for customers to better spend, borrow, invest, and save.  Across Wealth Management, our growth is driven by a relentless focus on our people, our clients and customers, and leading-edge technology, data and design.

Private Wealth Management (PWM)

Goldman Sachs Private Wealth Management (PWM) specializes in creating comprehensive wealth management plans for high net worth individuals and families, as well as select institutions, including foundations and endowments. PWM Teams work one-on-one with clients to advise and deliver customized strategies drawn from our deep investment experience, diverse wealth management capabilities and global reach. Our Private Wealth Advisors (PWAs) deliver an unparalleled investment platform inclusive of the full product and service offerings of Goldman Sachs and beyond, which may include tax and estate planning, philanthropic planning and private banking and lending services. As client needs evolve, this close relationship allows the team to offer complementary services and new opportunities by leveraging the resources of Goldman Sachs and beyond.

Equity Structuring (EQS)

The Equity Structuring group ("EQS") sits within Private Wealth Management ("PWM") and delivers tailored equity-based solutions to global wealth management and cross-divisional clients through customized structuring and execution services. EQS provides clients with single stock hedging and monetization expertise, as well as thematic investment opportunities across a variety of implementation vehicles such as public equity, listed options, structured notes, and over-the-counter (OTC) derivatives on both an agency and principal basis.

The Single Stock Structuring team sits within the Equity Structuring group. The team works with clients who have concentrated single stock positions to deliver bespoke solutions. Solutions are developed in partnership with the client's team of internal and external advisors in order to fully consider the client's investment objectives, risk tolerance, liquidity needs, tax sensitivity, estate planning, time horizon and available market opportunities. Clients include founders, family offices, public company officers and directors, multi-generational shareholders, and other investors. The team helps clients solidify objectives and navigate complex processes by delivering tailored and dynamic solutions that incorporate insights from the client's broader team and subject matter experts from across Goldman Sachs' divisions. These discussions often occur before and after important corporate events, such as IPOs and M&A events, and culminate in selling strategies including Rule 10b5-1 Selling Plans, Block Trades and other High-Touch Agency Sales. As part of these transactions, the team conducts due diligence on restrictions the client faces and works with company counsel to pre-clear transactions. As part of the Firm’s OneGS strategy, the team works directly with various institutional trading desks in Global Banking and Markets to execute many of these strategies for clients.

You will work as part of the global team to market and structure capital markets transactions for clients who are Founders, C-Suite Executives or Large Shareholders of public companies.  Your primary role will be drafting 10b5-1 plans, the most common mechanism through which these clients sell stock.  As part of that effort, you will partner closely with private wealth advisors, company counsel and clients’ tax and other advisors.  You will work on 10b5-1 plans during all phases of the lifecycle, including: researching client holdings and restrictions, marketing our offering, client education, plan structuring and drafting, plan management (including SEC Rule 144 filings) and ongoing client dialogue.  Additional responsibilities include marketing solutions by creating presentation materials, working on projects related to client prospecting and market trends, and partnering with engineering colleagues to build tools that enhance our platform and these workflows, including leveraging the Firm’s AI tools to enhance scale and efficiency.

HOW YOU WILL FULFILL YOUR POTENTIAL 

• Work as part of a global team to support the functions of the Single Stock Structuring Group
• Assist with drafting 10b5-1 plans and executing other executive selling transactions by working with private wealth advisors, the 10b5-1 trading team and internal partners such as Legal and Compliance
• Conduct due diligence on client restrictions deriving from SEC rules, their executive role, and IPOs / M&A events
• Research and analyze client equity holdings and transaction history through SEC filings and third-party datasets
• Create client-facing marketing materials and work with colleagues to educate clients and prospects
• Prepare internal and external materials such as business updates, datasets on important market trends and other updates related to 10b5-1 / executive selling and markets more broadly
• Contribute to ongoing platform expansion and technology development through collaboration with business partners, trading and other stakeholders

SKILLS & EXPERIENCE WE'RE LOOKING FOR

• Bachelor’s degree with minimum of 3 years of experience in financial markets
• Impeccable attention to detail, time management and organizational skills
• Strong interpersonal and communication skills (written and verbal)
• Ability to think independently and analytically within a defined framework
• Motivated team player who takes initiative and has ability to work autonomously
• High degree of personal accountability and ability to deal with sensitive and/or confidential information
• Strong Microsoft Office skills (Word, Excel, Outlook, PowerPoint)
• Experience in equity trading and/or capital markets
• Experience with SEC rules and filings
• Experience with Legal or Compliance workflows
• SIE, Series 7 and 63 required (must be obtained within three months of employment)

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

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Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.