MORE ABOUT THIS JOB OPERATIONS Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.
YOUR IMPACT Interested in applying your analytical skills while deepening your understanding of the securities markets and products? The Regulatory Reporting & Monitoring team is responsible for timeliness, accuracy and completeness of all regulatory report filings. Our team is seeking a professional who is looking to work with stakeholders across various departments to fulfill all requests from our Regulators.
OUR IMPACT Operations is a dynamic, multi-faceted division 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. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.
As a member of the Securities Regulatory Operations Reporting & Monitoring team, you will be primarily responsible for performing the necessary due diligence and report filing for the firm's regulatory requests such as Electronic Blue Sheet reporting or Canadian Provincial Filing to name a few. Regulatory Operations is generally responsible for the completeness, accuracy and timeliness of non-financial regulatory reporting of which the team manages over 500 reports in 75 jurisdictions.
The role involves building strong internal relationships with key stakeholders within the technology, compliance, legal and other operations teams. The ability to manage multiple deliverables, prioritize, meeting deadlines and communicate to all levels of the organization is critical to this role.
RESPONSIBILITIES AND QUALIFICATIONS HOW YOU WILL FULFILL YOUR POTENTIAL
This is a highly interactive role and as such requires the capability to work effectively with a diverse range of professionals internally, covering a wide variety of products and functions
Handle all regulatory requests in a timely and accurate manner
Identify and implement efficiencies into daily functions to increase controls while improving turnaround time on regulatory filings or inqueries
Interface with management on key risks impacting the Firm's securities reporting
Identify key areas of risk in the reporting process and influence the development of controls
Produce and/ or validate for accuracy daily, weekly and/or monthly regulatory reports
Timely investigation and resolution of exceptions associated with reporting
Analyze, suggest and execute process improvements
SKILLS & EXPERIENCE WE'RE LOOKING FOR Basic Qualifications
Bachelor's degree required
Minimum 3-4 years work experience in the Financial Industry
Proficient in the use of MS Office products
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 and attention to detail
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 QUALIFICATIONS Experience: Preferred candidate will have 3-4 years of business experience in financial services. The candidate's professional experience may have included past responsibility for audit, compliance, middle office support, project management, risk management, and implementation of strategic operational plans. This person will have successfully worked with complex financial products/functions with experience including data analysis, information technology, business operating processes, Regulatory Reporting and compliance. Experience with Electronic Blue Sheet reporting, or SEC and FINRA reporting obligations is a plus.
ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.