- SALARY:NONE
- Dallas, Texas
Dallas, Texas
Job Duties Associate with Goldman Sachs & Co. LLC in Dallas, Texas. Serve as the regulatory interface for internal and external business partners including auditors, custodians, trading desks, client relationship management, and other operational teams. Coordinate quarterly and monthly board reporting for our 1940 Act Proprietary and Sub-Advised funds and Fiscal year end Form N-CEN filings to the SEC. Liaise with external auditors and coordinate with internal teams on providing data for regulatory filings such as Form ADV, Form PF, CPO-PQR, and CPO-CTA. Independently perform reconciliations to ensure data accuracy for reportable transactions under the Investment Adviser Act of 1940. 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. Perform surveillance to monitor for potential breaches for various limits set forth by regulators and exchanges and effectively communicate potential breaches to trading desk and other internal business partners. Proactively review processes to gain efficiencies and improved risk oversight. Provide effective thought leadership in navigating evolving financial regulatory landscape and help to develop technological solutions to build appropriate architecture. Provide implementation strategies with business partners on regulations for new instruments to be traded in the future or new regulations on existing products and instruments. Help mentor and guide analysts on escalations and provide guidance on career planning.
Job Requirements Master's degree (U.S. or foreign equivalent) in Business Administration, Management, Finance, Economics, Accounting or related field and one (1) year of experience in the job offered or a related role OR Bachelor's degree (U.S. or foreign equivalent) in Business Administration, Management, Finance, Economics, Accounting or related field and three (3) years of experience in the job offered or a related role. Must have one (1) year of experience with a Master's degree or three (3) years of experience with a Bachelor's degree with the following conducting financial regulatory reporting creating Board Reports for 1940 Act Prop and Sub Advised Funds ensuring data accuracy and oversight in handling requests relating to regulations and audits preparing daily correspondence with strategic business partners to review open requests and assign ownership applying knowledge of financial principles and products project management and partnering with internal and external business stakeholder for regulatory filings NCEN, ADV and ADV E (Surprise Custody Exam) and performing risk management controls for FINRA limit(s) monitoring, CFTC de-Minimis exemptions and affiliated transaction reporting.
The Goldman Sachs Group, Inc., 2024. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity.