Global Banking & Markets- Dallas- Associate, Regulatory Reporting - Trade Level- 10219895

Goldman Sachs • Dallas, TX

12d • Onsite

About The Position

The Associate, Regulatory Reporting - Trade Level role at Goldman Sachs Services LLC in Dallas, Texas, is responsible for reviewing and managing exceptions in regulatory reports submitted to agencies like FINRA and the SEC, ensuring adherence to global regulatory standards. This position involves utilizing Business Intelligence tools such as Alteryx and SQL to create BI solutions and strategic plans. The role requires analyzing extensive datasets to verify accuracy, resolve discrepancies, and collaborating with technology teams to build and maintain effective data pipelines. Key responsibilities include identifying and rectifying control weaknesses, automating manual tasks, and upgrading current reporting systems to boost efficiency and mitigate risk. The Associate will work closely with internal departments like Engineering, Middle Office, Legal, and Compliance to synchronize reporting activities with business goals, and will also act as a point of contact with regulatory bodies. Additionally, the role involves conducting risk and compliance assessments, preparing reports for senior management, and participating in projects focused on regulatory compliance. This includes collaborating with international teams on implementing changes and providing progress updates. The position also requires interaction with internal and external parties, including business stakeholders, engineering, compliance, legal, counselors, and clients.

Requirements

• Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, Civil Engineering, or related field.
• Two (2) years of experience in the job offered or a related role.
• Two (2) years with US-based regulatory obligations from FINRA, SEC, or FDIC.
• Two (2) years with business Intelligence tools including Alteryx.
• Two (2) years with SQL (Structured Query Language).
• Two (2) years analyzing large datasets to ensure data accuracy and resolve discrepancies.
• Two (2) years conducting risk and compliance monitoring.
• Two (2) years process automation to improve reporting efficiency and reduce operational risk.
• Two (2) years working with market and financial instruments including equities, exchange traded derivatives, and OTC derivatives for regulatory reporting.
• Two (2) years project management tools including JIRA.

Responsibilities

• Reviewing and conducting exception management on regulatory reports submitted to agencies, such as FINRA and the SEC, ensuring compliance with global regulatory requirements.
• Working with Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies.
• Analyzing large data sets to ensure accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines.
• Identify and address control gaps, automate manual processes, and enhance existing reporting systems to improve efficiency and reduce risk.
• Work closely with internal teams, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives while serving as a liaison with regulatory agencies.
• Conduct risk and compliance monitoring and prepare updates for senior management.
• Participate in projects related to regulatory requirements, collaborate with global teams to implement changes, and provide regular updates on progress.
• Working with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level