Operations-Dallas-Associate-Regulatory Reporting - Trade Level

Pay Competitive

Employment type

Full-Time

Req#: 112738

The 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.

OUR IMPACT

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.

The Regulatory Operations Dallas team’s mission is to support Regulatory Operations in the production and monitoring of various transaction, derivative 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.

HOW YOU WILL FULFILL YOUR POTENTIAL

• 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

• Work with Legal, Compliance, Technology, other Operations groups and various Business units on change programs and issue resolution

• 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

SKILLS & EXPERIENCE WE’RE LOOKING FOR

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, Qualified Financial Contracts, 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 4+ 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…