Global Markets, Regulatory Controls Management, VP - New York
Posted on: 19 Feb 2021
New York City, New York
Job Description
MORE ABOUT THIS JOB
GLOBAL MARKETS
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
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
* Manage strategic initiatives to streamline pre-trade and trade control design, workflows and processes across obligations
* Establish key relationships with Sales and Trading to understand relevant workflows and identify control enhancements
* Partner with Divisional Compliance, Legal and other stakeholders to implement business control frameworks
* Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
* Develop materials to meet various committee requirements and support leadership forums
* Develop an understanding of Global Markets businesses to drive commercial outcomes
* Liaise with project management teams to manage team messaging, and provide required updates for the team
* Partner with regional team leads to socialize new upcoming regulatory implementations
Basic Qualifications:
* Prior exposure to regulatory obligations eg. client documentation, mandatory clearing, MIFID II obligations
* 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
Goldman Sachs
New York, New York
The Goldman Sachs Group, Inc. operates as an investment banking, securities, and investment management company worldwide. It operates in four segments: Investment Banking, Institutional Client Services, Investing & Lending, and Investment Management. The Investment Banking segment provides financial advisory services, including strategic advisory assignments related to mergers and acquisitions, divestitures, corporate defense activities, restructurings, spin-offs, and risk management; and underwriting services, such as debt and equity underwriting of public offerings and private placements of various securities and other financial instruments, as well as derivative transactions with public and private sector clients.
The Institutional Client Services segment is involved in client execution activities related to making markets in cash and derivative instruments for interest rate products, credit products, mortgages, currencies, commodities, and equities; and provision of securities services comprising financing, securities lending, and other brokerage services, as well as the marketing and clearing of client transactions on various stock, options, and futures exchanges.
The Investing & Lending segment invests in and originates longer-term loans; and makes investments in debt securities and loans, public and private equity securities, and infrastructure and real estate entities, as well as provides unsecured and secured loans through its digital platforms. The Investment Management segment offers investment management services; and wealth advisory services consisting of portfolio management, financial planning and counseling, and brokerage and other transaction services. The company serves corporations, financial institutions, governments, and individuals. The Goldman Sachs Group, Inc. was founded in 1869 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees35,900
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Website
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Jobs Posted925
