Operations - Regulatory Operations - Reg Reporting & Monitoring - Analyst - Irving

Reporting & Monitoring responsibilities include:

As a member of the Regulatory Operations Reporting & Monitoring team, you will be primarily responsible for performing reconciliations and monitoring our exception management process across various functional reporting families as well as reporting jurisdictions. The role involves building strong internal relationships with key contacts within the technology, compliance, legal and other operations teams. The ability to manage multiple deliverables, prioritize, meet deadlines and communicate to all levels of the organization is critical to this role.

This role requires an energetic individual that can liaise with various groups supporting our regional businesses to analyze our regulatory reporting and monitoring control infrastructure, covering a wide range of functions from Sales and Trading through Ticket Booking, Settlement, Asset Servicing, and Fee processing. This role requires an energetic individual who can assist the team with the analysis of the firm’s regulatory reporting and monitoring control infrastructure. The role will focus on understanding the regulatory rules, design of the control framework and operational/technical processes to oversee daily monitoring functions & exception handling.

Specific tasks include:

  • Developing recommendations for process control improvements;
  • Developing reconciliation tests and process control improvements;
  • Drive identification and implementation of efficiencies into team daily functions
  • Interface with management on key risks impacting the Firm’s derivatives reporting
  • Timely investigation and resolution of exceptions associated with reconciliation breaks and DTCC responses
  • Monitoring controls and performing analysis of exceptions;
  • Analyzing the distributed workflow front to back to identify the root cause of report inconsistencies;
  • Proactively assisting operations, compliance, and technology in understanding and remediating issues impacting regulatory reporting;
  • Coordinating the remediation of reporting anomalies;
  • Recommending infrastructure improvements, workflow processes strategic technology architecture.

Basic Qualifications•Bachelor’s degree with a minimum of three years of experience in financial services.

  • Bachelor’s degree with a minimum of five to seven years of experience in financial services. (vice president)
  • Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail.
  • Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience.
  • Self-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing priorities.
  • Flexible and able to work well under pressure in a team environment.
  • Excellent Verbal and Written Communication Skills.
  • Sound understanding of Risk – operational, reputational.
  • Basic understanding of regulatory landscape.

Preferred Qualifications•Strong technical understanding of the trading life cycle and exchange FIX protocol

  • Strong understanding of the trading life cycle (Orders, Executions, Allocations) and Operational Processes
  • Solid understanding of the Equities, Derivatives and Fixed Income industry and products
  • Strong teamwork skills to work with other areas of the organization (Operations, Compliance, Technology, Legal) to understand regulations, trade flows, Operational processes, etc
  • Strong analytical and organizational skills
  • Strong excel data analysis skills; MS Access or basic SQL skills a plus
  • Strong ability to partner with managers to understand complex regulatory reporting requirements
  • General understanding of derivatives regulatory reporting obligations, including CFTC and ESMA, a plus
  • Familiarity with the following reports is also a plus:
  • SEC Electronic Blue Sheets
  • FINRA Short Interest
  • SEC 13F & SEC 13G
  • Large Options Position Reporting

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.


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