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Regulatory Operations – Trade Reporting – Associate

Company/ Firm Name

Goldman Sachs


London, UK

Published Date

19 May 2023

About the job:



Operations division is a dynamic, multi-faceted organization 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.



We’re looking for a professional individual who wants to apply their financial market knowledge and develop their understanding of regulatory reform at the heart of the financial markets. With the continued high rate of change in the regulatory reporting space, Regulatory Operations professionals have the platform to significantly impact their environment and the wider business. Our team is seeking a professional who is looking to collaborate with business stakeholders, technology, Regulators and non-financial regulatory reporting teams for the implementation of upcoming compliance items and day to day oversight of regulatory reporting requirements

We are open to considering requests for flexible working.


  1. Regulatory Operations is a global team that ensures that the firm is compliant with a wide range of non-financial regulatory reporting obligations. We partner with groups across the firm and industry to accurately represent firm and client order, execution and position information to regulators across a wide range of traded financial products and businesses. Our team prides itself on best-in class operational design and delivery of high quality controls to manage regulatory risk. From day one, team members play a vital role in upholding the three Operations principles of client focus, process innovation and risk management.


  1. Responsibilities include the following:

  • Execute key risk and control processes to ensure compliance with non-financial regulatory reporting obligations

  • Develop expert knowledge pertaining to securities regulatory requirements, processes and systems for a number of order, trade and transaction based Regulatory reports

  • Consult on business and functional projects to facilitate compliant commercial activity

  • Own client relationships with a focus on excellent client regulatory service

  • Develop strong relationships with stakeholders in the business, Engineering, Compliance and Legal to support reporting functions

  • Delve into complex system infrastructure to understand impact of data flows and booking models on reporting quality

  • Leverage data analytical and automation tools to detect anomalies in reporting data and improve reporting processes

  • Design and lead the implementation of solutions to deliver best-in-class system and control frameworks quality

  • Train and motivate colleagues to achieve personal and departmental business and risk targets.

  • Investigate, remediate, and provide supervisory guidance on issues with these reports and develop control improvements

  • Define and provide supervisory oversight for comprehensive project documentation in support of strategic initiatives and change management including business/functional requirement documents, process flow diagrams and comprehensive data analysis


We are looking for a driven individual who can work on a broad set of regulatory obligations around transaction reporting. They are expected to be able to learn how to efficiently support the team’s daily time sensitive functions for Securities and Derivatives non-financial regulatory reporting across multiple jurisdictions and regulators.

  • Working knowledge of MiFID

  • Bachelor’s degree with 4+ years of experience in financial services

  • Strong analytical skills with an ability to understand complex workflows paired with meticulous attention to detail

  • Must have strong communication skills to clearly articulate issues and ideas, provide timely escalation

  • Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations

  • Self-motivated team player who has strong organizational skills and ability to manage competing priorities within deadlines

  • Working knowledge of financial markets, regulatory landscape and associated processes

  • Working knowledge of financial, operational, reputational risk

  • Working knowledge of financial products, e.g. equities, fixed income, exchange traded derivatives, OTC derivatives is an advantage

  • Working knowledge or expertise in European non-Financial Regulatory Reporting functions across Derivatives and Equities

  • Working knowledge of project management and business analysis is an advantage

  • Interest in data analysis, process automation, big data or non-technical process efficiencies is an advantage

Preferred candidate will have at least 4 years of business experience in financial services. The candidate’s professional experience may have included past responsibility for audit/analysis, compliance, business support, daily processing, project management, risk management, and implementation of strategic operational plans. This person will ideally have successfully worked with financial products/functions with experience including data analysis, Regulatory Reporting, trading flows and compliance.

Application Process:

  • Submit CV using email address below

  • SEO London shortlists applicants

  • Shortlisted applicants sent to Goldman Sachs 

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