Global Banking & Markets - Dallas - Associate, Regulatory Reporting - Trade Level - 9625409

Goldman Sachs•Dallas, TX

10d•Onsite

About The Position

This role is responsible for preparing and submitting regulatory reports to agencies like FINRA and the SEC, ensuring compliance with global regulatory requirements. The position involves analyzing large datasets for accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines. Key responsibilities include identifying and addressing control gaps, automating manual processes, and enhancing existing reporting systems to improve efficiency and reduce risk. The role also requires close collaboration with internal teams such as Engineering, Middle Office, Legal, and Compliance to align reporting practices with business objectives, and serving as a liaison with regulatory agencies. Additionally, the Associate will conduct risk and compliance monitoring, prepare updates for senior management, participate in projects related to regulatory requirements, collaborate with global teams on implementing changes, and provide regular progress updates. Staying informed about regulatory changes, assessing their impact, and contributing to the team's long-term strategy are also crucial aspects of this position.

Requirements

Master’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, or related field and one (1) year of experience in the job offered or in a related role OR Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, or a related field and three (3) years of experience in the job offered or a related role.
One (1) year of experience (with a Master’s degree) OR three (3) years of experience (with a Bachelor’s degree) with working with market and financial instruments (including equities, exchange traded derivatives, and OTC derivatives).
One (1) year of experience (with a Master’s degree) OR three (3) years of experience (with a Bachelor’s degree) with US-based regulatory obligations including responding to regulator inquiries from FINRA.
One (1) year of experience (with a Master’s degree) OR three (3) years of experience (with a Bachelor’s degree) with 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.
One (1) year of experience (with a Master’s degree) OR three (3) years of experience (with a Bachelor’s degree) with working with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.
One (1) year of experience (with a Master’s degree) OR three (3) years of experience (with a Bachelor’s degree) 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, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives.
Serving as a liaison with regulatory agencies.
Conducting risk and compliance monitoring and preparing updates for senior management.
Participating in projects related to 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.