Global Banking & Markets Operations, Order and Trade Regulatory Operations, Associate - New York

Goldman Sachs•New York, NY

51d•$80,000 - $135,000

About The Position

At Goldman Sachs, we connect people, capital and ideas to help solve problems for our clients. We are a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. For us, it’s all about bringing together people who are curious, collaborative and have the drive to make things possible for our clients and communities. YOUR IMPACT Are you looking to join a fast paced team that sits at the nexus between the business and a global department responsible for the creation and submission of non-financial regulatory reporting to regulators? Our team within Order and Trade Regulatory Operations is seeking a professional who is looking to collaborate with business stakeholders, engineering, Regulators and non-financial regulatory reporting teams for the implementation of upcoming compliance items and day to day oversight of regulatory reporting requirements. OUR IMPACT Operations is a dynamic, multi-faceted area 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. Operations has a role in every service Goldman Sachs provides and offers its employees the opportunity to impact the organization in a myriad of ways. The Regulatory Operations New York team’s mission is to support Regulatory Operations in the production and monitoring of various order and trade reports to ensure the firm meets its regulatory reporting obligations while maintaining accuracy, completeness and timeliness. The Team consists of talented and highly motivated individuals who are extensively involved in the preparation of the mandated reports, as well as the implementation of effective control processes, efficiency initiatives, cross regional coverage and new initiative implementation.

Requirements

Bachelor’s degree required
Analytical thinker with the ability to generate innovative ideas and translate strategy to execution
Problem solving and documentation skills with an ability to understand complex workflows
Candidate must be proactive, enthusiastic and team oriented
Accuracy, analytical ability and attention to detail
Effective time management and risk awareness
Ability to think strategically and contribute to department and division wide initiatives
Strong written and verbal communication skills
Proven ability to organize and prioritize workload and drive results
Ability to learn quickly and adapt to new changes and new challenges
Preferred candidate will have at least 3-5 years of business experience in financial services.
The candidate’s professional experience may have included past responsibility for audit/analysis, compliance, business support, daily processing, project management, risk management, and implementation of strategic operational plans.

Nice To Haves

Preferred experience with securities trading flows, regulatory obligations and project/JIRA management
Preferred work with Regulators SEC, NYSE, FINRA for example and on CAT, TRACE, MSRB compliance
This person will ideally have successfully worked with financial products/functions with experience including data analysis, Regulatory Reporting, trading flows and compliance.

Responsibilities

Perform effective risk management in reporting time sensitive regulatory reporting accurately, completely and timely
Develop expert knowledge pertaining to securities regulatory requirements, processes and systems for a number of order and trade based Regulatory reports
Perform daily analysis on data and pursue problem resolution while improving processes
Provide oversight of the impact assessments done on these reports for new markets, new products, business reorganizations, system changes and new/changed regulations
Investigate, remediate and provide supervisory guidance on issues with these reports and develop control improvements
Improve current processes, procedures and reports including automation of manual processes
Contribute to strategic initiatives from idea creation to implementation, working with various Engineering and team stakeholders
Define and provide supervisory oversight for comprehensive project documentation in support of strategic initiatives and change management including: business/functional requirement documents, process flow diagrams and comprehensive data analysis
Work with Legal, Compliance, Engineering, other Operations groups and various Business units on change programs and issue resolution
Act as a risk manager for the firm through ongoing assessment and awareness of the regulatory environment and the firm’s adherence to its reporting obligations
Be flexible to contribute to other activities within the group where necessary, e.g. daily report production

Benefits

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.

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