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Global Banking & Markets Operations-Dallas-Associate-Regulatory Operations-Order & Trade Reporting

Goldman Sachs

Goldman Sachs

Legal, Operations
Dallas, TX, USA
Posted on Thursday, June 6, 2024

Job Description

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.

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.


We’re looking for a professional individual who wants to apply their financial market knowledge and develop their understanding of regulatory reform at the heart of the financial markets. With the continued high rate of change in the regulatory reporting space, Regulatory Operations professionals have the platform to significantly impact their environment and the wider business. Our team is seeking a professional who will collaborate with multiple stakeholders to improve the firm's compliance rates across obligations.


Regulatory Operations is a global team that ensures that the firm is compliant with a wide range of non-financial regulatory reporting obligations. We partner with groups across the firm and industry to accurately represent firm and client order, execution and position information to regulators across a wide range of traded financial products and businesses. Our team prides itself on best-in class operational design and delivery of high quality controls to manage regulatory risk. From day one, team members play a vital role in upholding the three Operations principles of client focus, process innovation and risk management.


  • 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, trade and transaction based Regulatory reports
  • Perform daily analysis on data and pursue problem resolution while improving processes
  • Investigate, remediate and provide supervisory guidance on issues with these reports and develop control improvements
  • Work on controls of data integrity and completeness through work with Engineering and Operations teams
  • Provide oversight of the impact assessments done on these reports for new markets, new products, business reorganizations, system changes and new/changed regulations
  • Improve current processes, procedures and reports including automation of manual processes
  • Contribute to strategic initiatives from idea creation to implementation, working with various Technology 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, Technology, 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


We are looking for a driven individual who can work on a broad set of regulatory obligations around order and trade reporting. They are expected to be able to learn how to efficiently support the team’s daily time sensitive functions around regulations including MSRB, TRACE, CAT and TRF, among others, along with helping out on projects to help fix and lower risk on the team.

Basic Qualifications

  • Bachelor’s degree required
  • Preferred 2-3 years work experience in the Financial or Business Industry
  • Preferred experience with regulatory reporting or rules from SEC, FINRA, MSRB
  • 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
  • Preferred experience with securities trading flows, regulatory obligations and project/JIRA management
  • 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
  • Control or project management capabilities in design, testing and execution


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