goldmansachs Goldman Sachs
Like most financial institutions, Goldman Sachs specializes in several key areas, including mergers and acquisitions, investment research, securities and risk management, and technological innovation.
The Regulatory Middle Office (RMO) team has an open management headcount that we are looking to fill. The additional headcount will be used to build out a new Dallas based Regulatory Middle Office team in line with the global team’s location strategy. The role will be part of the regulatory response function of the team, performing position monitoring, surveillance, and regulatory reporting for Investment Management regulatory obligations.
Are you looking to apply your analytical skills while deepening your understanding of asset management regulation? Our Regulatory Middle Office team is seeking a professional who is looking to collaborate with portfolio managers, client relationship managers, compliance specialists and attorneys to mitigate risks associated with the capture and documentation of regulatory position and transaction reporting.
Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm’s assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.
The Regulatory Middle Office (“RMO”) team is responsible for providing business management and expertise in Asset Management’s regulatory reporting, filings and trade surveillance, as well as initializing and driving the full-cycle of various audits. RMO serves as the regulatory interface for internal and external business partners including Auditors, Fund Administrators, Custodians, Controllers, Legal, Compliance, Trading Desks, Client Relationship Management, Technology, and other Operational teams. RMO is keenly focused on risk management; ensuring the accuracy and precision of regulatory reporting and audit management.
HOW YOU WILL FULFILL YOUR POTENTIAL
• Gain a holistic ownership and understanding of all Regulatory reporting requirements from a GSAM Operations perspective.
• Oversee surveillance functions that monitor for potential breaches for various limits set forth by regulators and exchanges, ensuring any items are escalated to relevant stakeholders
• Manage affiliated transaction reporting and monitoring for our 1940 Act Propriety and Sub-advised funds
• Provide management oversight to regulatory filings coordinated within the team such as Form N-CEN and TIC-S
• Provide management oversight to ensure accuracy for regulatory filings such as Form ADV, Form PF, CPO-PQR, CPO-CTA, and NFA-PR
• Ensure data accuracy and oversight in handling requests relating to Regulations and Audits (ADV-E).
• Daily correspondence with our strategic business partners to review open requests and assign ownership.
• Pro-actively review processes in an effort to gain efficiencies and improved risk oversight.
• Provide oversight and direction to the team in accordance with operational procedures
• Coach, mentor, and develop employees, including providing career development planning and opportunities
SKILLS & EXPERIENCE WE’RE LOOKING FOR
• Bachelor’s degree
• A minimum of 7-10 years of financial services experience required
• Experience in Regulatory Reporting
• Team oriented and contributes to an inclusive environment
• Excellent interpersonal skills and the ability to forge strong relationships with internal and external clients
• Strong verbal and written communication skills with the ability to influence a wide range of stakeholders
• Strong analytical and problem-solving skills
• Demonstrates understanding of risk management: understanding of controls, escalations and engagement of relevant groups
• Ability to combine tactical and strategic thinking
• Excellent organizational skills
• Management experience in the Finance Industry and/or Regulatory Industry
• Experience in reporting
• Experience with change management or process improvement a plus