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

Location(s) US-VA-McLean
Job ID
2021-73525
Schedule Type
Full Time
Level
Associate
Function(s)
Client Services/Sales Support - Early Career, Project Management - Early Career, Trade and Transaction Management - Early Career
Region
Americas
Division
Operations
Business Unit
RIA Custody Operations
Employment Type
Employee

MORE ABOUT THIS JOB

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.

RESPONSIBILITIES AND QUALIFICATIONS

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

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., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity