Global Markets Operations, Portfolio Services Operations - RIA Custody Operations, Associate, McLean

Location(s) US-VA-McLean
Job ID
Schedule Type
Full Time
Client Services/Sales Support - Early Career, Project Management - Early Career, Trade and Transaction Management - Early Career
Business Unit
RIA Custody Operations
Employment Type


Goldman Sachs RIA Custody Operations is seeking a Brokerage Operations Analyst or Associate to assist in the preparation and execution of various periodic internal risk/control functions for client and control accounts and support metrics and performance reporting initiatives.


The specific responsibilities include the following:

  • Proactively remediates operational issues that can create an unstable processing environment
  • Reviews margin reports and liaises with internal stakeholders to address potential margin calls and respond to any potential concentration (firm or client) concerns (Regulation T experience preferred)
  • Monitors and analyzes break and suspense reports on the functional operations team(s) control and compliance operating environment to the Control Manager
  • Track and follow up with internal stakeholders on specific action items
  • Adheres to company policies and procedures and complies with legal and regulatory (FINRA and SEC) requirements
  • Supports incident and control reviews for multiple workflows escalates to management
  • Assist management with all responsibilities concerning Operations impact on the Reserve Formula and FOCUS reports

Basic Qualifications:

  • Minimum 2+ years Financial Services Industry
  • Brokerage Operations and Margin experience preferred
  • Proficient in Microsoft Office; MS Excel in particular
  • SQL and a strong understanding of data organization
  • Self-motivated and able to work independently
  • Ability to organize, multi-task, and meet deadlines
  • Ability to learn quickly, think critically and problem-solve
  • Series 7 preferred
  • Familiarity with written supervisory procedures (WSPs)
  • Familiarity with brokerage control account structures
  • Familiarity with DTCC/NSCC functions



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