Operations - Regulatory and Control Operations - Transaction Regulatory Reporting - Associate - Dallas

Location(s) US-TX-Dallas
Job ID
Schedule Type
Full Time
Business Unit
Transaction Reg Reporting
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 to regulators?  Our Transactions team within Securities Regulatory Operations is seeking a professional who is looking to collaborate with business stakeholders, technology, Regulators and non-financial regulatory reporting teams for the implementation of upcoming compliance items and day to day oversight of regulatory reporting requirements.



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. Operations has a role in every service Goldman Sachs provides and offers its employees the opportunity to impact the organization in a myriad of ways.

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 and monitoring of various transaction and position reports to ensure the firm meets their regulatory reporting obligations while maintaining accuracy, completeness and timeliness. 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, cross regional coverage and new initiative implementation. 



  • Perform effective risk management in reporting time sensitive regulatory reporting accurately, completely and timely
  • Develop expert knowledge pertaining to securities regulatory requirements, processes and systems for a number of order, trade and transaction based Regulatory reports
  • Perform daily analysis on data and pursue problem resolution while improving processes
  • 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 these reports and develop control improvements
  • Improve current processes, procedures and reports including automation of manual processes
  • Contribute to strategic initiatives from idea creation to implementation, working with various Technology and team stakeholders
  • 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 these reports
  • 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



We are looking for a driven individual who can work on a broad set of regulatory obligations around transaction reporting. They are expected to be able to learn how to efficiently support the team’s daily time sensitive functions around Electronic Blue Sheet Reporting, INSITE and Canadian Provincial Filings, among others, along with helping out on projects to help fix and lower risk on the team.  

Basic Qualifications

  • Bachelor’s degree required
  • Preferred 2-3 years work experience in the Financial or Business 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
  • Preferred experience with securities trading flows, regulatory obligations and project/JIRA management
  • Candidate must be proactive, enthusiastic and team oriented
  • Accuracy, analytical ability and attention to detail
  • Effective time management and risk awareness
  • 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 work with Regulators SEC, NYSE, FINRA for example and on Electronic Blue Sheet compliance



Preferred candidate will have 2-3 years of business experience in financial services. The candidates’ professional experience may have included past responsibility for audit/analysis, compliance, business support, daily processing, project management, risk management, and implementation of strategic operational plans. This person will ideally have successfully worked with financial products/functions with experience including data analysis, Regulatory Reporting, trading flows and compliance. 




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

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