Global Banking & Markets, Supervisory Risk & Controls, Vice President - Dallas

Team Overview: GBM Supervisory Risk and Controls team is a First Line risk management function and manages business controls covering supervisory related risks arising from both Equities and Fixed Income Currency & Commodities (FICC) sales & trading activities, as well as pre-trade and post-trade controls for different regulatory obligations in the Global Banking & Markets (GBM) division. The team focuses on control design, implementation and enhancements to ensure risk in GBM is appropriately mitigated.

Roles and Responsibilities

• Lead development of key metrics to measure effectiveness of the business control framework
• Build relationships with Sales/Trading including regular meetings with Supervisors to discuss their team's regulatory compliance exceptions.
• Work with Compliance and Legal on matters relating to regulatory compliance and conduct.
• Lead strategic initiatives to streamline pre-trade, trade and supervisory control workflows and processes across obligations
• Analyze data and trends to identify enhancements to existing controls to improve control performance and effectiveness.
• Drive strategic initiatives to streamline controls across obligations and businesses.
• Train associated persons on controls tooling.
• Represent the team in necessary governance forums for the business controls covered within the region when needed.
• Provide control owner input into design features and functionality impacting the broader strategic supervisory platform to ensure continued control performance across the Supervisory control suite.
• Monitoring and Oversight of Control Actions and Control Effectiveness
• Execute the data governance framework, policies, standards, and guidelines

Basic Qualifications:

• Bachelor's degree.
• 5-7 years of relevant work experience with specific knowledge of front office supervisory framework or exposure to regulatory implementation.
• Prior experience in working with Engineering to lead data strategy and uplift of controls preferred
• Familiarity with securities markets, derivative products, Sales & Trading functions, booking platforms and trade flows.
• Expert in translating and analyzing data to perform root cause / trending / impact analyses to drive recommendations and decision making.
• Deep understanding of risk & controls framework across Sales & Trading businesses.
• Strong time and project management/organizational skills and attention to detail; ability to handle a fast-paced environment; communicate factually and influentially.
• Experience managing projects and building and maintaining stakeholder relationships; communicating with influence.
• Proven track record of building and managing business relationships.

ABOUT GOLDMAN SACHS

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 GS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

The Goldman Sachs Group, Inc., 2023. 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, veterans status, disability, or any other characteristic protected by applicable law.