Securities, Regulatory Controls Management, Associate, Dallas

Location(s) US-TX-Dallas
Job ID
Schedule Type
Full Time
Business Unit
Management and Strategy
Employment Type



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.


Team Overview: The Regulatory Controls Management Team (RCM) is responsible for oversight and management of controls, and control processes associated with regulatory implementation for Securities Division, including the design of pre- and post-trade controls, alert management and escalation to key stakeholders.


Roles and Responsibilities

  • Ensure relevant business- or division- specific regulatory obligations for Securities Division are met, including certain timely booking, pre-trade, post-trade and execution requirements, and documentation/ repapering obligations
  • Design pre-trade and post-trade business controls for new regulatory implementation, and identify and implement enhancements to existing controls
  • Design appropriate systematic workflows to deploy business controls, in partnership with the business and Technology
  • Manage ongoing alert resolution process across all regulatory controls, engaging with key stakeholders including the business, Ops, Tech, Legal and Compliance, including:
    • Providing Securities Division personnel with guidance on regulatory control processes impacting their business
    • Reviewing control effectiveness and required enhancements on an ongoing basis including sample challenge of the business on alerts 
    • Managing identification, tracking and remediation of issues with escalation to obligation owners, supervisors and senior leadership as applicable
  • Define and produce management reporting, metrics and dashboards across obligations to provide appropriate visibility on regulatory compliance to relevant obligation owners and desk supervisors
  • Develop and implement control governance framework components including: establishing obligation owners, documenting controls, reviewing control effectiveness, and enhancements


Basic Qualifications:

  • Knowledge of regulatory obligations and experience in prior regulatory implementation is preferred (eg client reg outreach or implementation, client onboarding, compliance or legal, or other supporting desk functions)
  • Basic understanding of sales and trading workflows from buy-side, sell-side and trading venue perspectives
  • Experience working with Technology including defining and clarifying business requirements for execution
  • Ability to manage multiple projects and prioritize tasks in a rapidly changing environment
  • Experience working with multiple stakeholders and managing multiple projects
  • Good time management/organizational skills and attention to detail; ability to handle a fast-paced environment; ability to work independently



At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity