Job Description

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, Global Markets and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Bangalore, Hong Kong and other major financial centers around the world. 

Global Banking & Markets

Our core value is building strong relationships with our institutional clients, which include corporations, financial service providers, and fund managers. We help them buy and sell financial products on exchanges around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team with a passion for the markets, with individuals who thrive in fast-paced, changing environments and are energized by a bustling trading floor

What we do:

The Global Banking & Markets (GBM) Regulatory Controls team has ownership of the design, implementation, management of pre and post trade controls for Sales/Trading functions and provides assurance for non-financial regulatory reporting obligations within GBM. The team sits within GBM Operating Risk (GMOR), partners closely with Sales & Trading and their Supervisors to ensure regulatory risk in the division is appropriately managed for the Division.

Roles and Responsibilities:

• Design pre-trade and post-trade business controls for new regulatory implementations, and identify and implement enhancements to existing controls
• Execute daily quality checks to provide assurance for completeness, accuracy, and timeliness for regulatory reporting data reported to various regulators by using of both internally developed controls and external third-party vendor controls
• Build relationships with multiple global teams on data analytics models and upliftment in business control workflows to improve the overall control framework of reporting obligations
• Active engagement with global and industry peers on data analytics model as well as delivering on our methodology to improve the overall control framework of reporting obligations
• Support regulatory obligation coverage to effectively investigate and remediate trading control issues that arise
• Contribute to strategic initiatives to streamline pre-trade and post-trade control design, workflows and processes across obligations
• Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
• Contribute to the continuous improvement of our Strategic Control Tooling, Analytics, and Business Intelligence focus

Basic Qualifications:

• Bachelor’s degree
• 1-3 years of relevant work experience ideally with prior exposure to global and regional regulatory obligations (e.g. margin rules, MIFID II, mandatory clearing/execution, etc)
• Knowledge of GBM businesses and ability to build relationships with sales / trading personnel
• Understanding of securities markets, derivative products, trade lifecycle, and Sales/Trading workflows
• Strong time and organizational skills with attention to detail; ability to handle a fast-paced environment
• Intellectual curiosity and ability to develop the required functional expertise

Preferred Qualification

• Ideally with prior exposure to global/regional regulatory trading and regulatory reporting obligations
• Relevant experience with Risk and Control / Audit / Legal / Compliance background
• Experience with data analysis/blending/visualization tools such as SQL, Alteryx, and Tableau 
• Ability to work with key stakeholders to define and clarify obligation requirements and demonstrate comprehension of business logic
• Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigates/solutions and escalate appropriately

About Goldman Sachs

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. 

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. 

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2023. All rights reserved.

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