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.
RESPONSIBILITIES AND QUALIFICATIONS
RESPONSIBILITIES AND QUALIFICATIONS
Team Overview : The Regulatory Controls Management Team (RCM) centrally manages pre-trade and trade controls and control processes associated with certain regulatory obligations of the Global Markets division.
The team focuses on the design of pre trade and trade controls for Sales / Trading, including control enhancements, alert management and escalation to key stakeholders.
Roles and Responsibilities
Design pre-trade and post-trade business controls for new regulatory implementation, and identify and implement enhancements to existing controls
Develop subject matter expertise on covered obligations and participate in various working groups across multiple stakeholders
Contribute to strategic initiatives to streamline pre-trade and post-trade control design, workflows and processes across obligations
Formulate and develop business control requirements for new regulatory implementations
Partner with Desks, Compliance, Legal and Engineering to design and improve business control workflows
Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
Knowledge of Global Markets businesses and ability to build relationships with sales / trading personnel
Basic Qualifications :
Prior exposure to regulatory obligations eg. MIFID II requirements (Quote Capture, Derivatives Trading Obligation (DTO), Recordkeeping)
Familiarity with derivative products, sales / trading booking platforms and trade flows
Ability to translate and analyze data to perform root cause / trending / impact analyses
Experience working with Technology including defining and clarifying business requirements, demonstrate comprehension of business logic
Ability to manage timelines / deadlines, multiple projects and prioritize tasks in a rapidly changing environment
Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigants / solutions and escalate appropriately
Ability to craft and generate effective and influential presentations, metrics, reporting to a diverse group of stakeholders
Strong time and project management / organizational skills and attention to detail; ability to handle a fast-paced environment;
communicate factually and influentially
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.