• Operations – Derivatives Regulatory Operations – Exception Management – Sr. Analyst – Dallas

    Location(s) US-TX-Dallas
    Job ID
    Schedule Type
    Full Time
    Business Unit
    Derivatives Regulatory Reprtg
    Employment Type


    Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.



    Are you looking to join a fast paced team that sits at the nexus between the business and a global department responsible for the creation and submission of non-financial regulatory reporting (e.g., order, trade, position reporting) to regulators?  Our Transactions team within Derivatives Regulatory Operations is seeking a professional who is looking to collaborate with business stakeholders, technology, various Federation teams and non-financial regulatory reporting teams for the implementation of upcoming compliance items and day to day oversight of regulatory reporting requirements to ensure accurate and timely reporting.



    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.


    Regulatory Operations has responsibility for position and trade reporting to key American, European and Asian exchanges and regulators. The Regulatory Operations Dallas team’s mission is to support Regulatory Operations in the production of various transaction and position reports within the Americas. The team plays an integral role in ensuring that the Firm meets its regulatory reporting obligations primarily in the Americas. The Team consists of talented and highly motivated individuals who are extensively involved in the preparation of the mandated reports, as well as the implementation of effective control processes, efficiency initiatives, BCP, and other Department initiatives.



    • Develop expert knowledge pertaining to derivatives regulatory requirements specific to the CFTC (Commodities Futures Trading Commission) & the CSA (Canadian Securities Administrators), processes and systems for a number of transactions and position based Regulatory reports
    • Monitor exceptions pertaining to DTCC rejections by undertaking root cause analysis and providing solutions to remediate identified issues
    • Work with relevant internal and external stakeholders on issue resolution
    • Provide oversight of the impact assessments done on these reports for new markets, new products, business reorganizations, system changes and new/changed regulations
    • Investigate, remediate and provide supervisory guidance on issues with regulatory reports and develop control improvements
    • Improve current processes, procedures and reports including automation of manual processes
    • Contribute to strategic initiatives relating to UAT testing and post production checkouts for industrywide initiatives
    • Define and provide supervisory oversight for comprehensive project documentation in support of strategic initiatives and change management including: business/functional requirement documents, process flow diagrams and comprehensive data analysis
    • Produce test scripts and co-ordinate / participate in testing activities with Operations and Technology
    • Work with Legal, Compliance, Technology, other Operations groups and various Business units to manage change programs and issue resolution for regulatory reporting
    • Act as a risk manager for the firm through ongoing assessment and awareness of the regulatory environment and the firm’s adherence to its reporting obligations
    • Be flexible to contribute to other activities within the group where necessary, e.g. daily report production



    Basic Qualifications

    • Bachelor’s degree required
    • Minimum 2 year work experience in the Financial Industry
    • Proficient in the use of MS Office products
    • Analytical thinker with the ability to generate innovative ideas and translate strategy to execution
    • Problem solving and documentation skills with an ability to understand complex workflows
    • Candidate must be proactive, enthusiastic and team oriented
    • Accuracy and attention to detail
    • Ability to think strategically and contribute to department and division wide initiatives
    • Strong written and verbal communication skills
    • Proven ability to organize and prioritize workload and drive results
    • Ability to learn quickly and adapt to new changes and new challenges




    Preferred candidate will have 2-3 years of business experience in financial services. The candidates’ professional experience may have included past responsibility for audit, compliance, middle office support, project management, risk management, and implementation of strategic operational plans. This person will have successfully worked with complex financial products/functions with experience including data analysis, information technology, business operating processes, Regulatory Reporting and compliance.  Experience with derivative products or regulations is a plus.


    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

    © The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.