Securities, Regulatory Controls Management, Associate - Dallas

Location(s) US-TX-Dallas
Job ID
2020-63179
Schedule Type
Full Time
Level
Associate
Function(s)
General
Region
Americas
Division
Global Markets
Business Unit
Management and Strategy
Employment Type
Employee

MORE ABOUT THIS JOB

SECURITIES

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.

RESPONSIBILITIES AND QUALIFICATIONS

Team Overview: The Regulatory Controls Management Team (RCM) provides oversight and management of business controls associated with regulatory implementation for Global Markets. The team focuses on the design of pre trade and trade controls for Sales/Trading, including control enhancements, alert management and escalation to key stakeholders. (excludes Regulatory Reporting obligations and associated Operations-owned post-trade processes and controls)

 

Roles and Responsibilities

  • Design pre-trade and post-trade business controls for new regulatory implementation, and identify and implement enhancements to existing controls
  • Develop subject matter expertise on covered obligations and participate in various working groups across multiple stakeholders
  • Contribute to strategic initiatives to streamline pre-trade and post-trade control design, workflows and processes across obligations
  • Formulate and develop business control requirements for new regulatory implementations
  • Partner with Desks, Compliance, Legal and Engineering to design and improve business control workflows
  • Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
  • Knowledge of Global Markets businesses and ability to build relationships with sales / trading personnel
  • Basic understanding of sales and trading workflows and platforms ie buy-side, sell-side and trading venues
  •  

Basic Qualifications:

  • Ability to translate and analyze data to perform root cause / trending / impact analyses to drive decision making
  • Experience working with Technology including defining and clarifying business requirements, demonstrate comprehension of business logic
  • Ability to manage timelines/deadlines, multiple projects and prioritize tasks in a rapidly changing environment
  • Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigants/solutions and escalate appropriately
  • Ability to craft and generate effective and influential presentations, metrics, reporting to a diverse group of stakeholders
  • Strong time and project management/organizational skills and attention to detail; ability to handle a fast-paced environment; communicate factually and influentially

ABOUT GOLDMAN SACHS

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



© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity