Regulatory Operations Associate Regulatory Operations Associate …

Goldman Sachs
à Dallas, TX, États-Unis
CDI, Plein-temps
Soyez parmi les premiers à postuler
Goldman Sachs
à Dallas, TX, États-Unis
CDI, Plein-temps
Soyez parmi les premiers à postuler
Regulatory Operations Associate


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.



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 (e.g., order, trade, position reporting) to regulators?  Our New Business Initiatives team is seeking a professional who is looking to collaborate with business stakeholders, technology, various Federation teams and non-financial regulatory reporting teams to analyze and assist in the implementation of new business initiatives with regard to non-financial regulatory reporting.


As a Business Analyst on the Business Facilitation Team within the Regulatory Operations department, you will be primarily responsible for managing the requests and implementation of new business ventures and new instruments, with a lens on global regulatory reporting. Business Analyst responsibilities would include process re-engineering, implementing strategic initiatives, as well as partnering with the Business, Legal, Compliance, Operations, and Engineering to ensure accurate and timely regulatory reporting on behalf of the firm.

This role requires a motivated individual that can liaise with various groups supporting the securities and derivatives businesses to design, implement, and manage changes to regulatory reporting within the Americas.  The team coordinates with global counterparts and various teams within Operations, Engineering, Compliance, Legal and the Business.  The ability to manage multiple deliverables & stakeholder expectations, prioritize, meet deadlines and communicate to all levels of the organization and firm is critical to this role.


  • Analysis of regulatory changes related to order, trade, transaction and/or position data;
  • Analysis of front to back system infrastructure to understand data flows, booking models, and logic required to capture data;
  • Play instrumental role in implementation of large-scale initiatives across the Global Regulatory Operations department ;
  • Proactively assisting the Business, Operations, Compliance, and Engineering management in understanding the impact of business initiatives on regulatory reporting;
  • Helping with prioritization of the business initiatives and commitment of the Operations and Engineering resources;
  • Conducting deep dive reviews into existing reporting rules and associated infrastructure;
  • Reviewing business and functional specifications to determine potential impact to existing regulatory obligations;
  • Documenting test scripts and assisting in User Acceptance Testing and post-production check outs for rule/system changes that impact reporting processes;
  • Liaise with relevant stakeholders in Operations, Engineering, Legal, Compliance, and the Business to address potential areas of risk;
  • Training and developing junior staff to understand complex workflows and processes;
  • Analyzing data from multiple systems in order to determine how to best write requirements for regulatory reports.



  • Bachelor's Degree 
  • Ability to handle large scale requests from various business lines and research requests in order to determine impact assessment across multiple regulatory reports;
  • Proven stakeholder management experience, working across multiple locations and jurisdictions;
  • Solid understanding of the Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives products;
  • Strong understanding of the trading life cycle (Orders, Executions, Allocations) and Operational Processes;
  • Experience in project management and securities processing (3-7 years of industry or related experience);
  • Strong teamwork skills to work with other areas of the organization (Operations, Compliance, Engineering, Legal) to understand regulations, trade flows, Operational processes, etc.;
  • Strong analytical and organizational skills, including the developing and tracking of project plans;
  • Advanced use of Microsoft Excel, Word and Powerpoint
  • Strong ability to partner with managers to understand complex regulatory reporting requirements;
  • Experience in defining and preparing scope and business and functional requirements;
  • Preparing test cases, test scripts and managing user acceptance testing;
  • Strong written and verbal communication skills
  • Ability to present to various levels of the organization;


Preferred candidate will have 3-7 years of business experience in financial services. The candidates’ professional experience may have included past responsibility for project management, risk management, product development, and implementation of strategic operational plans. This person will have successfully worked with complex financial products/functions with experience including data analysis, information technology, and business.

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