2016 ACC Legal Operations: Your 2 Minute Recap - APTTUS

Operations – Enterprise Operations – Regulatory Ops – New Business Initiatives Team – Analyst – Irving

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 for the implementation of upcoming compliance items.

The New Business Initiatives team is a high-visibility team in Operations that supports the securities and derivatives businesses to design, implement, and manage regulatory reporting within the Americas.



Analysis of upcoming regulatory reporting rules – published by the SEC, FINRA, CFTC, etc. 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; Helping implement large-scale initiatives across the Global Regulatory Operations team; Proactively assisting the business, operations, compliance, and IT management in understanding the impact of upcoming compliance on regulatory reporting; Conducting deep dive reviews into existing reporting rules and associated infrastructure; Writing business and functional specifications for technology for changes to reporting processes; 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, Technology, 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.


Ability to handle ambiguous 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, List 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, Technology, Legal) to understand regulations, trade flows, Operational processes, etc. Strong analytical and organizational skills, including the developing and tracking of project plan Strong excel data analysis skills; MS Access or basic SQL skills preferred Strong ability to partner with managers to understand complex regulatory reporting requirements Preparing scope and user requirements documents Preparing test scripts and manage user acceptance testing


Fluency in Spanish is a plus. Preferred candidate will have 1-3 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, business operating processes Regulatory Reporting and compliance.

ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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