Controllers – Dallas - Associate, Regulatory Reporting – Portfolio Level - 9005250
About The Position
The Associate, Regulatory Reporting – Portfolio Level role at Goldman Sachs Services LLC in Dallas, Texas, is responsible for preparing and submitting regulatory reports to agencies like FINRA and the SEC, ensuring compliance with global regulatory requirements. This involves analyzing large datasets for accuracy, addressing discrepancies, and collaborating with technology teams on data pipelines. The role also focuses on identifying and mitigating control gaps, automating manual processes, and enhancing reporting systems for efficiency and risk reduction. Key aspects include working with internal teams (Front Office, Middle Office, Legal, Compliance) to align reporting with business objectives, acting as a liaison with regulatory agencies, conducting risk and compliance monitoring, and preparing updates for senior management. The position also entails participating in projects for new regulatory requirements, collaborating with global teams, and staying informed about regulatory changes to contribute to the team's strategy.
Requirements
- Bachelor’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Economics, Engineering Management, or a related field and three (3) years of experience in the job offered or a related role OR Master’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Economics, Engineering Management, or a related field and one (1) year of experience in the job offered or a related role.
- Working with market and financial instruments (including equities, exchange traded derivatives, and OTC derivatives).
- Understanding of US-based regulatory obligations.
- Responding to regulator inquiries from FINRA.
- Using JIRA framework and technologies that govern data flow and eligibility logic to build required control framework that provide visibility on risk, including Key Risk Indicators (KRI) accuracy, timeliness, completeness and other metrics.
- Owning relationships with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.
- Experience with Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies.
Responsibilities
- Preparing and submitting regulatory reports to agencies such as FINRA and the SEC.
- Ensuring compliance with global regulatory requirements.
- Analyzing large datasets to ensure accuracy and addressing discrepancies.
- Collaborating with technology teams to build and maintain efficient data pipelines.
- Identifying and addressing control gaps.
- Automating manual processes.
- Enhancing existing reporting systems to improve efficiency and reduce risk.
- Working closely with internal teams (Front Office, Middle Office, Legal, and Compliance) to align reporting practices with business objectives.
- Serving as a liaison with regulatory agencies.
- Conducting risk and compliance monitoring.
- Preparing updates for senior management.
- Participating in projects related to new regulatory requirements.
- Collaborating with global teams to implement changes.
- Providing regular updates on project progress.
- Staying informed about regulatory changes and assessing their impact on reporting obligations.
- Contributing to the team’s long-term strategy to address evolving business needs.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
