Controllers Operations-Dallas-Associate-Regulatory Reporting - Portfolio Level

At Goldman Sachs, we connect people, capital and ideas to help solve problems for our clients. We are a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. For us, it’s all about bringing together people who are curious, collaborative and have the drive to make things possible for our clients and communities.

YOUR IMPACT

Are you looking to join a fast-paced team responsible for managing the firm's position reporting, beneficial ownership, and regulatory disclosure requirements? Within Controllers, the US Position Reporting team is seeking a motivated professional to partner with Business, Compliance, Legal, and Engineering teams to support critical regulatory obligations, risk management activities, and strategic transformation initiatives. This role offers the opportunity to develop expertise across US and global position reporting regulations, strengthen the firm's control environment, and contribute to initiatives that improve data quality, reporting accuracy, operational scalability, and risk management.

OUR IMPACT

Controllers is responsible for safeguarding the firm's financial and non-financial regulatory obligations through effective risk management and robust control frameworks. Within Controllers, the Risk & Regulatory Control organization oversees a broad range of compliance, control, and regulatory activities designed to protect the firm and support adherence to regulatory requirements. The Global Position Reporting team is responsible for monitoring and reporting beneficial ownership, major shareholder, Large Option Position Reporting, exchange position limit, short position, and other regulatory disclosure requirements across multiple jurisdictions. The US Position Reporting team manages reporting, monitoring, and escalation processes related to SEC, FINRA, CFTC, exchange position limit, and other regulatory requirements applicable to the firm's business activities.

The team plays a critical role in protecting the firm through the accurate and timely execution of reporting requirements, monitoring of position limits and regulatory thresholds, management of escalation events, and implementation of strategic initiatives focused on automation, controls, and reporting modernization.

HOW YOU WILL FULFILL YOUR POTENTIAL

• Develop expertise in beneficial ownership, large Option Position Reporting, major shareholder, exchange position, short position, and other regulatory disclosure requirements.
• Monitor reporting obligations, position limits, and regulatory thresholds to ensure compliance with internal and external requirements.
• Review daily exceptions, investigate control breaks and reporting issues, and drive remediation efforts across stakeholders.
• Manage escalation processes related to reporting exceptions, threshold breaches, and regulatory risks.
• Partner with Compliance, Legal, and Business stakeholders to implement mitigation strategies, including trading restrictions where required.
• Analyze positions and exposures across equities, exchange-traded derivatives, OTC derivatives, convertible securities, and other financial instruments.
• Support responses to regulatory inquiries, examinations, and requests from regulators including FINRA, SEC, and exchanges.
• Interpret regulatory requirements and assess the impact of new products, business initiatives, and regulatory developments.
• Design and enhance controls supporting the accuracy, completeness, and timeliness of reporting activities.
• Collaborate with Engineering teams to improve data quality, automate manual processes, and enhance reporting infrastructure.
• Participate in strategic initiatives, testing activities, and platform transformation programs.
• Prepare risk metrics, management reporting, and updates for senior leadership.

SKILLS & EXPERIENCE WE'RE LOOKING FOR

Basic Qualifications

• Bachelor's degree required.
• Minimum 3 years of experience in Financial Services, Regulatory Reporting, Compliance, Risk Management, Audit, Operations, or a related field.
• Strong analytical and problem-solving skills with the ability to work with large and complex datasets.
• Advanced Excel skills; experience with SQL is preferred.
• Strong written and verbal communication skills.
• Strong attention to detail and ability to manage competing priorities.
• Ability to work effectively across functions and influence stakeholders.
• Demonstrated risk and control awareness.
• Self-motivated, proactive, and team-oriented mindset.

Preferred Qualifications

• Experience supporting position reporting, beneficial ownership, compliance, controls, audit, or risk management functions.
• Knowledge of SEC, FINRA, CFTC, and exchange-related regulatory requirements.
• Experience monitoring position limits, regulatory thresholds, and escalation frameworks.
• Experience with equities, exchange-traded derivatives, OTC derivatives, and other complex financial products.
• Experience supporting regulatory inquiries, examinations, audits, or remediation activities.
• Experience working on strategic transformation, process improvement, or automation initiatives.
• Experience in SQL, Alteryx, Tableau, Power BI, or similar data analytics tools.
• Understanding of project management, testing methodologies, and change management processes.

Preferred  Experience: 

The ideal candidate will have 3-5 years of experience in financial services with exposure to regulatory reporting, compliance, risk management, operations, audit, business analysis, or project management functions. Candidates should demonstrate experience working with complex financial products, regulatory requirements, large datasets, control frameworks, and cross-functional stakeholders. Experience supporting beneficial ownership reporting, SEC and FINRA obligations, position limit monitoring, OTC derivative analysis, regulatory inquiries, and strategic transformation initiatives is a plus. 

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

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.