• Securities, Regulatory Controls Management, Analyst/Associate, Dallas

    Location(s) US-TX-Dallas
    Job ID
    Schedule Type
    Full Time
    Business Unit
    Management and Strategy
    Employment Type


    Our core value is building strong relationships with our institutional clients, which include corporations, financial service providers, and fund managers. We help them buy and sell financial products on exchanges around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team with a passion for the markets, with individuals who thrive in fast-paced, changing environments and are energized by a bustling trading floor.


    Team Overview: The Regulatory Controls Management Team (RCM) is responsible for oversight and management of controls, and control processes associated with regulatory implementation for Securities Division, including the design of pre- and post-trade controls, alert management and escalation to key stakeholders.


    Roles and Responsibilities

    • Ensure relevant business- or division- specific regulatory obligations for Securities Division are met, including certain timely booking, pre-trade, post-trade and execution requirements, and documentation/ repapering obligations
    • Design pre-trade and post-trade business controls for new regulatory implementation, and identify and implement enhancements to existing controls
    • Design appropriate systematic workflows to deploy business controls, in partnership with the business and Technology
    • Manage ongoing alert resolution process across all regulatory controls, engaging with key stakeholders including the business, Ops, Tech, Legal and Compliance, including:
      • Providing Securities Division personnel with guidance on regulatory control processes impacting their business
      • Reviewing control effectiveness and required enhancements on an ongoing basis including sample challenge of the business on alerts 
      • Managing identification, tracking and remediation of issues with escalation to obligation owners, supervisors and senior leadership as applicable
    • Define and produce management reporting, metrics and dashboards across obligations to provide appropriate visibility on regulatory compliance to relevant obligation owners and desk supervisors
    • Develop and implement control governance framework components including: establishing obligation owners, documenting controls, reviewing control effectiveness, and enhancements


    Basic Qualifications:

    • Knowledge of regulatory obligations and experience in prior regulatory implementation is preferred (eg client reg outreach or implementation, client onboarding, compliance or legal, or other supporting desk functions)
    • Basic understanding of sales and trading workflows from buy-side, sell-side and trading venue perspectives
    • Experience working with Technology including defining and clarifying business requirements for execution
    • Ability to manage multiple projects and prioritize tasks in a rapidly changing environment
    • Experience working with multiple stakeholders and managing multiple projects
    • Good time management/organizational skills and attention to detail; ability to handle a fast-paced environment; ability to work independently


    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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.