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Regulatory Compliance Analyst
2 months ago
GLOBAL BANKING AND MARKETS
At Goldman Sachs, we prioritize the establishment of robust relationships with our institutional clientele, encompassing corporations, financial service entities, and fund managers.
This role is part of a dynamic, entrepreneurial team that thrives in fast-paced environments, energized by the activity of a bustling trading floor.
RESPONSIBILITIES AND QUALIFICATIONS
Team Overview:
The Regulatory Controls Management Team (RCM) plays a pivotal role in overseeing preventive (pre-trade) and detective (post-trade) controls and processes related to various regulatory obligations within the Global Banking & Markets division.
The team is dedicated to the design, implementation, and enhancement of trading controls for Sales & Trading, which includes alert management and escalation to key stakeholders.
Key Responsibilities:1. Design and implement preventive and detective controls for new regulatory requirements while identifying enhancements for existing controls.
2. Develop expertise in covered obligations/functions and collaborate with diverse working groups to ensure comprehensive risk management.
4. Formulate and develop business control requirements for new regulatory implementations.
5. Partner with Desks, Compliance, Legal, and Engineering teams to refine business control workflows.
6. Create management reporting tools (e.g., metrics, dashboards) to enhance visibility and facilitate communication with obligation owners, desks, and senior leadership.
7. Maintain a thorough understanding of Global Banking and Markets operations and foster relationships with sales and trading personnel.
Basic Qualifications:
1. Bachelor's degree.
2. 3-5 years of relevant professional experience.
Prior exposure to regulatory obligations and related functions is preferred.
3. Familiarity with derivative products, sales/trading booking platforms, and trade flows.
4. Proficient in data analysis to perform root cause, trending, and impact analyses for informed decision-making.
5. Experience collaborating with Technology teams to define and clarify business requirements.
6. Strong ability to manage timelines, multiple projects, and prioritize tasks in a rapidly evolving environment.
7. Capable of identifying and articulating complex issues to a diverse group of stakeholders, proposing solutions, and escalating as necessary.
8. Skilled in crafting effective presentations and reports for various stakeholders.
9. Excellent time management, organizational skills, and attention to detail; ability to thrive in a fast-paced environment and communicate effectively.
ABOUT GOLDMAN SACHS
Goldman Sachs is dedicated to leveraging our people, capital, and ideas to support our clients, shareholders, and the communities we serve.
We believe that individual diversity enhances our collective performance.
Our commitment to fostering diversity and inclusion extends throughout our workplace and beyond, ensuring that every individual has ample opportunities for professional and personal growth through our training programs, development initiatives, and wellness offerings.
Learn more about our culture, benefits, and people atWe are committed to providing reasonable accommodations for candidates with special needs or disabilities during our recruitment process.
Learn more:
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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