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Responsible for managing regulatory reports for agencies like FINRA and the SEC to ensure global compliance. This involves using BI tools to analyze large datasets, automating manual processes, and collaborating with internal teams to reduce operational risk.
Requires a Bachelor's degree in Finance, Economics, Business Analytics, Civil Engineering, or a related field. Candidates must have at least two years of experience with US regulatory obligations, SQL, Alteryx, and financial instruments.
Job Duties: Associate, Regulatory Reporting - Trade Level with Goldman Sachs Services LLC in Dallas, Texas. Responsible for reviewing and conducting exception management on regulatory reports submitted to agencies, such as FINRA and the SEC, ensuring compliance with global regulatory requirements. Working with Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies. Analyzing large data sets to ensure accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines. Identify and address control gaps, automate manual processes, and enhance existing reporting systems to improve efficiency and reduce risk. Work closely with internal teams, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives while serving as a liaison with regulatory agencies. Conduct risk and compliance monitoring and prepare updates for senior management. Participate in projects related to regulatory requirements, collaborate with global teams to implement changes, and provide regular updates on progress. Working with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.
Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, Civil Engineering, or related field and two (2) years of experience in the job offered or a related role. Prior experience must include two (2) years with: US-based regulatory obligations from FINRA, SEC, or FDIC; business Intelligence tools including Alteryx; SQL (Structured Query Language); analyzing large datasets to ensure data accuracy and resolve discrepancies; conducting risk and compliance monitoring; process automation to improve reporting efficiency and reduce operational risk; working with market and financial instruments including equities, exchange traded derivatives, and OTC derivatives for regulatory reporting; and project management tools including JIRA.
©The Goldman Sachs Group, Inc., 2026. All rights reserved. Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veteran status, disability, or any other characteristic protected by applicable law.
We aspire to be the world’s most exceptional financial institution, united by our shared values of partnership, client service, integrity, and excellence. Operating at the center of capital markets, we act as one firm, mobilizing our people, capital, and ideas to deliver superior results across our clients’ most complex challenges. For 157 years, Goldman Sachs has delivered world-class execution on a global scale across our leading Global Banking & Markets and Asset & Wealth Management businesses. Apprenticeship is central to our culture, with hands-on coaching and access to leaders who bring decades of experience and expertise. With office locations around the world, we offer a broad range of career opportunities to those who insist on excellence and thrive on performance. Find our Social Media Disclosures here: gs.com/social-media-disclosures
Offices: 200 West Street, New York, New York 10282, US
