Securities, Regulatory Controls Management, VP - Dallas

Location(s) US-TX-Dallas
Job ID
2020-63180
Schedule Type
Full Time
Level
Vice President
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

  • Develop subject matter expertise on covered obligations and represent the team in various working groups across multiple stakeholders
  • Lead strategic initiatives to streamline pre-trade and post-trade control design, workflows and processes across obligations
  • Partner and interact with businesses, Compliance, Legal and Technology to formulate and develop business control requirements for new regulatory implementation
  • Develop tools and management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
  • Partner with Engineering to establish control metrics and effectiveness criteria and identify strategic enhancements on an ongoing basis
  • Knowledge of Global Markets businesses and ability to build relationships with sales / trading and navigate complex landscapes

Basic Qualifications:

  • Prior exposure to regulatory obligations e.g. Margin Rules, CFTC P1/P2
  • Familiarity with derivative products, sales / trading booking platforms and trade flows
  • Prior experience driving data strategy and uplift of controls preferred
  • Demonstrate sound judgement and decision making while managing risk appropriately
  • 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
  • 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