Goldman Sachs Global Banking & Markets Operations- Regulatory 

United States, Texas, Dallas 

141196826

RESPONSIBILITIES AND QUALIFICATIONS

YOUR IMPACT

REGULATORY OPERATIONS

HOW YOU WILL FULFILL YOUR POTENTIAL

Responsibilities include the following:

• Execute key risk and control processes to ensure compliance with non-financial regulatory reporting obligations
• Manage a team (5-10) of individuals through career progression as well as job performance and training to achieve efficiency and risk reduction in the team
• Work with locationally diverse teams in communication and correspondence to accomplish shared functions and goals
• Develop extensive subject matter expertise in major Americas regulations (eg. MSRB, FINRA, SEC)
• Consult on business and functional projects to facilitate compliant commercial activity
• Develop strong relationships with stakeholders in the business, Engineering, Compliance and Legal to support reporting functions
• Delve into complex system infrastructure to understand impact of data flows and booking models on reporting quality
• Leverage data analytical and automation tools to detect anomalies in reporting data and improve reporting processes
• Design and lead the implementation of solutions or new regulatory commitments to deliver best-in-class system and control frameworks quality

PREFERRED QUALIFICATIONS

• Bachelor’s degree with 5+ years of experience in financial services
• Strong analytical skills with an ability to understand complex workflows paired with meticulous attention to detail
• Must have strong communication skills to clearly articulate issues and ideas, provide timely escalation
• Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations
• Self-motivated team player who has strong organizational skills and ability to manage competing priorities within deadlines
• Working knowledge of financial markets, regulatory landscape and associated processes
• Working knowledge of financial, operational, reputational risk
• Working knowledge of financial products, e.g. equities, fixed income, exchange traded derivatives
• Working knowledge of regulatory rules or compliance experience
• Working knowledge of project management and business analysis is an advantage
• Interest in data analysis, process automation, big data or non-technical process efficiencies is an advantage
• Previous management/mentorship of people