Operations - Regulatory Operations - Reporting & Monitoring - Associate - Irving


Interested in applying your analytical skills while deepening your understanding of the securities markets and products? The Reporting & Monitoring team is responsible for timeliness, accuracy and completeness of all regulatory report filings. Our team is seeking a professional who is looking to work with stakeholders across various departments to fulfill all requests from our Regulators.


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. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.

As a member of the Regulatory Operations Reporting & Monitoring team, you will be primarily responsible for performing the necessary due diligence and report filing for the firm's regulatory requests. Regulatory Operations is generally responsible for the completeness, accuracy and timeliness of non-financial regulatory reporting of which the team manages over 500 reports in 75 jurisdictions.

The role involves building strong internal relationships with key stakeholders within the technology, compliance, legal and other operations teams. The ability to manage multiple deliverables, prioritize, meeting deadlines and communicate to all levels of the organization is critical to this role.


  • This is a highly interactive role and as such requires the capability to work effectively with a diverse range of professionals internally, covering a wide variety of products and functions
  • Identify and implement efficiencies into daily functions
  • Interface with management on key risks impacting the Firm's securities reporting
  • Identify key areas of risk in the reporting process and influence the development of controls
  • Produce and/or validate the accuracy for daily, weekly and/or monthly regulatory reports
  • Timely investigation and resolution of exceptions associated with reporting
  • Analyze, suggest and execute process improvements


Basic Qualifications•Bachelor's degree with a minimum of 3-4 years of experience in financial services

  • Proven analytical skills, problem solving ability, and a control mentality that pays attention to detail
  • Aptitude for building relationships and ability to communicate complex issues to a wide array of internal stakeholders with differing levels of product experience
  • Self-motivated and proactive team player, who takes ownership and accountability of processes, 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

Preferred Qualifications•Attention to Detail

  • Excellent Verbal and Written Communication Skills
  • Ability to manage multiple deliverables and prioritize accordingly to meet competing deadlines
  • Sound understanding of Risk (Operational and Reputational)
  • Futures experience regarding product knowledge, operational support and regulation is highly valued
  • Basic understanding of the regulatory landscape and familiarity with the following reports is a plus:
  • SEC Electronic Blue Sheets
  • FINRA Short Interest
  • SEC 13F & 13G
  • Large Option 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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