Operations Specialist, OPS4453393

Location(s) US-NY-New York
Job ID
Schedule Type
Full Time
Business Unit
Client Assets Ops
Employment Type


Operations Specialist with Goldman Sachs & Co. LLC in New York, NY.


Work Schedule: 40 hours per week (9:00 a.m. to 6:00 p.m.)


Duties: Operations Specialist with Goldman Sachs & Co. LLC in New York, NY. Work as a member of the Customer Protection Team, which is responsible for ensuring the Firm’s compliance with SEC Rule 15c3-3, the agency’s customer protection regulation. Involved in a full range of daily processes for the Customer Protection Team, including calculation and reporting of regulatory customer protection requirements, root cause analysis of issues and various completeness and accuracy controls of systemic calculations. Involved in regulatory audit work, as well as the team’s efficiency efforts and business intelligence initiatives, which will require the Operations Specialist to become fluent in process flows for both broker-dealers and banking entities. Work closely with other Operations teams, as well as across the Firm’s business units, including Regulatory Reporting, Global Securities Services, Prime Brokerage, Private Wealth Management Client Representatives, Compliance and Legal, to ensure compliance with customer protection rules.


Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Accounting, Finance or a related business analysis field. Three (3) years of experience in the job offered or a related operational role within the financial services industry. Prior experience must include: Utilizing accounting skills to perform in-depth reconciliation processes and balance multiple books and records in an effort to mitigate risks; Applying ability to determine the root cause of an issue in financial books and records; Applying regulatory understanding of the U.S. Customer Protection rules, particularly SEC Rule 15c3-3, in order to ensure firm compliance; Managing risk in order to proactively identify and escalate regulatory exceptions to ensure accuracy, completeness and adherence to competing reporting deadlines; Applying advanced Microsoft Word, PowerPoint, Access and Excel skills in order to create and produce regulatory reports and internal presentations, including the use of VBA macros, complex formulas and relational databases; Managing internal operations projects to drive strategic business initiatives and evaluate processes to enhance and improve client reporting operational flow with an eye toward ensuring regulatory compliance; Demonstrating ability to develop fluency in new systems and databases quickly and efficiently; and Working with DTCC/CDS/Euroclear user systems/platforms and the FINRA Firm Gateway portal.



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