Steven Spencer Email and Phone Number
Steven Spencer work email
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Steven Spencer personal email
With over 18 years of experience in the financial services industry, I am a seasoned compliance leader with expertise in wealth management and capital markets. As the Chief Compliance Officer for Goldman Sachs Ayco, I oversee all aspects of compliance for the firm's RIA wealth management business, providing personalized financial planning and investment advisory services to corporate and individual clients. I am driven by the mission of helping our clients achieve their financial goals and aspirations, while ensuring that the business operates in compliance with the relevant laws, regulations, and firm policies. I bring leadership and a wealth of knowledge and experience to our team, having worked in various roles and businesses within Goldman Sachs, as well as serving as an officer in the US Army.In my current role, I am responsible for developing and implementing best practices, policies, and procedures in relation to new legal and regulatory requirements impacting the asset and wealth management business lines I oversee. I foster strong relationships with internal and external stakeholders, such as regulators, auditors, clients, and business partners, to ensure compliance alignment and collaboration. I am proud of the achievements and contributions that I have made to the firm and our clients, and I look forward to continuing to grow and excel in my role.
Goldman Sachs
View- Website:
- goldmansachs.com
- Employees:
- 65498
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Head Of Capital Markets ComplianceGoldman SachsNewport Beach, Ca, Us
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Chief Compliance OfficerGoldman Sachs Ayco Mar 2023 - PresentCohoes, New York, Us• Chief Compliance Officer for Goldman Sachs Ayco and Mercer Allied Company Broker Dealer providing personalized workplace financial planning and investment advisory services to Fortune 500 Corporations and High Net Worth Retail Clients • Responsible for development and implementation of best practices, policies and procedures in relation to new legal and regulatory requirements impacting asset and wealth management business lines• Develop annual compliance plan, including updating and delivering annual compliance training, coordinating with internal audit and testing groups on priorities, prioritizing engineering resources related to compliance surveillance and technology solutions• Participate on internal committees and working groups on a variety of topics, including business strategy, compliance risk assessment, market conduct risk, and new products• Coordinate and collaborate with Firmwide Compliance Teams, Internal and External Legal Counsel, Operations and Engineering partners on various projects and tasks -
Chief Compliance OfficerGoldman Sachs Personal Financial Managment Mar 2020 - Nov 2023• Chief Compliance Officer for Goldman Sachs Personal Financial Management responsible for seamless integration of United Capital Financial Advisors into Goldman Sachs, successfully harmonizing compliance programs• Key areas of responsibility included streamlining compliance frameworks by aligning policies, procedures, and controls with existing infrastructure and regulatory requirements• Oversaw compliance implementation and planning of solutions to facilitate data migration, reporting, surveillances, and ongoing compliance monitoring ensuring a smooth transition and regulatory adherence for both acquisition and sale
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Vice President - Capital Markets ComplianceGoldman Sachs Jul 2012 - Mar 2020New York, New York, Us• US Head of Compliance for the Market Solutions Group advising a business of 100+ investment specialists; Market Solutions Group offers customized advisory and execution services across equity and fixed income products (including derivatives, structured products, new issues, and co-investments) to high net worth individuals, family offices, and select institutions• Responsible for ensuring the business is being conducted and supervised in compliance with applicable laws, regulations and firm polices; Provide advice on general trading and regulatory rules• Responsible for developing, drafting, and implementing compliance policies, procedures, best practices and training programs within the private bank• Responsible for coordinating with Business, Technology, Operations, and Legal to assist with new business initiatives, projects, and implementation of regulatory changes
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Vice President - Credit DerivativesGoldman Sachs Feb 2010 - Jul 2012New York, New York, Us• Co-manage a team of 30 employees providing trade support functions, trade affirmation, cash flow settlement and project management for multiple credit derivative businesses• Led working group aimed at ensuring necessary requirements for credit derivative products were met in response to Dodd-Frank Reporting Rules for OTC transactions • Effectively planned and directed all aspects of the budgeting process for credit department including a review of expense and headcount allocation to business units
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Vice President - Equity DerivativesGoldman Sachs Jan 2009 - Jan 2010New York, New York, Us• Managed two teams totaling 10 analysts and associates responsible for trade support functions, daily trade affirmation, and daily cash flow settlement for the equity derivative businesses in New York and London• Responsible for coordinating and executing the migration of clients and responsibilities to the Salt Lake City team from New York and London • Coordinated and liaised with other teams and regions to ensure global consistency and convergence across product knowledge, processes, procedures and risk management functions
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Associate - Equity DerivativesGoldman Sachs Nov 2005 - Dec 2008New York, New York, Us• Managed an 8 person team that performed trade support functions for an equity derivative trading desk; functions included derivative and stock settlements, valuations, corporate action processing, risk reporting, documentation and trade booking• Supported the pricing and hedging on various delta one equity derivative products, particularly equity swaps on bespoke and broad indices, and single stocks for institutional level clients• Responsible for liaising with clients, sales/trading, and all federation divisions in a client service capacity
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CaptainUs Army May 2000 - Jun 2004Arlington, Virginia, Us
Steven Spencer Skills
Steven Spencer Education Details
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Penn State UniversityBachelor'S Degree
Frequently Asked Questions about Steven Spencer
What company does Steven Spencer work for?
Steven Spencer works for Goldman Sachs
What is Steven Spencer's role at the current company?
Steven Spencer's current role is Head of Capital Markets Compliance.
What is Steven Spencer's email address?
Steven Spencer's email address is st****@****chs.com
What schools did Steven Spencer attend?
Steven Spencer attended Penn State University.
What skills is Steven Spencer known for?
Steven Spencer has skills like Equities, Fixed Income, Capital Markets, Derivatives, Hedge Funds, Trading Systems, Equity Derivatives, Credit Derivatives, Asset Management, Legal Compliance, Broker Dealer, Structured Products.
Who are Steven Spencer's colleagues?
Steven Spencer's colleagues are Allison Nuttall, Georgia Tritak, Suhina Lalla, Ca(Sa) Cia, Grant Higdon, Daniel Vos, Bhrama Kulkarni, Queenie Tsang.
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