7 Regulatory Controls Jobs

The Securities & Derivative Analyst 1 position is an entry-level role that involves processing orders and transactions from trading desks and branch offices in coordination with the Operations - Transaction Services team. Your main responsibility will be to assist in the clearance, settlement, and investigation of client securities and derivatives transactions. Your key responsibilities will include: - Performing trade verifications to ensure accuracy of booking requests - Generating and matching trade confirmations according to the International Swaps and Derivatives Association (ISDA) templates - Completing settlement tasks and daily rate revaluations accurately and on time - Coordinating transaction processing issues and collaborating on solutions - Conducting regulatory controls, account reconciliations, and record retention activities as per established policies - Preparing and submitting periodic internal and external regulatory reports - Participating in periodic General Ledger (GL) proofing exercises as directed You should have relevant experience and a fundamental understanding of Treasury products, accounting, and regulatory policies. A proven ability to handle various concurrent activities/projects in a high-risk environment is essential. Demonstrated knowledge of macros and clear written and verbal communication skills are also required. The ideal candidate will have a Bachelor's Degree/University degree or equivalent experience in Business, Accounting, or Finance. Please note that this job description provides an overview of the typical tasks performed and additional duties may be assigned as necessary. If you require a reasonable accommodation due to a disability to use our search tools or apply for a career opportunity, please review Accessibility at Citi. For more information on Citigroup's EEO Policy Statement and the Know Your Rights poster, please refer to the relevant documents.,

The Asset & Wealth Management Strategic Transformation Office is seeking a Regulatory Solutions professional to join their team. As part of this recently established entity, your primary responsibilities will include managing the regulatory strategy and roadmap for the AWM business globally. You will be the key business partner for regulatory matters, ensuring a robust control framework to evidence compliance. In this role, you will represent the business on regulatory change governance forums, co-sponsor new regulations, and perform detailed assessments to identify their impact on existing AWM capabilities. Additionally, you will support the design of appropriate solutions to meet regulatory requirements, advise on regulatory considerations for new products, funds, or trading activities, and collaborate with key stakeholders and regulatory experts within the firm to simplify complex problems. To excel in this position, you will need a Bachelor's degree and at least 5 years of experience in management consulting or a related field in financial services with active involvement in new regulation assessments and implementations. A deep understanding of asset management products, the asset management operating model, and ecosystems is crucial. You should possess strong analytical, problem-solving, and critical thinking skills to provide innovative solutions, along with excellent project management, communication, and relationship-building abilities. If you have a strategic mindset, experience in regulatory function, and proficiency in MS Office tools, particularly PowerPoint and Excel, we encourage you to apply. Join us at the Asset & Wealth Management Strategic Transformation Office to drive regulatory change matters and make a significant impact on the AWM business globally. Goldman Sachs is an equal employment/affirmative action employer committed to fostering diversity and inclusion within the workplace and beyond. Discover more about our culture, benefits, and career opportunities at GS.com/careers.,

The FX Ops officer position is responsible for processing transactions originating from trading desks and branch offices in coordination with other Operations & Service teams. The main objective is to assist in the clearance, settlement, and investigation of client securities and derivatives transactions. In this role, you will: - Perform trade verifications to ensure accuracy of booking requests - Generate and match trade confirmations according to the International Swaps and Derivatives Association (ISDA) templates - Complete settlement tasks and daily rate revaluations accurately and on time - Coordinate transaction processing issues to the appropriate department and collaborate on a solution - Perform regulatory controls, account reconciliations, and record retention activities in accordance with established policies - Prepare and submit periodic internal and external regulatory reports - Participate in the periodic General Ledger (GL) proofing exercises as directed - Assess risk when making business decisions, with a focus on reputation and compliance with laws and regulations As a successful candidate, you should ideally have: - Relevant experience preferred - Fundamental understanding of Treasury products, accounting, and regulatory policies - Proven ability to perform various concurrent activities/projects in a high-risk environment - Knowledge of macros - Clear and concise written and verbal communication skills Education: - Bachelors Degree/University degree or equivalent experience in Business, Accounting, or Finance This job description offers a high-level overview of the work performed. Other job-related duties may be assigned as required.,

The Asset & Wealth Management Strategic Transformation Office is responsible for overseeing comprehensive large-scale transformations. The primary objectives of the office include enhancing scalability, driving revenue growth, improving client experience, and elevating controls to optimize the operating platform. This group consists of four critical functions: Product Management & Design, Change Management, Regulatory Management, and Monitoring & Testing. The AWM Regulatory Management team plays a key role in managing the regulatory strategy and roadmap for the AWM business globally. As the primary business partner for regulatory matters, the team is responsible for Regulatory Solutions and Regulatory Controls. Regulatory Solutions involve assessing the impact of regulations on business activities, participating in regulatory change governance forums, and supporting the design of appropriate solutions to deliver regulatory requirements. Regulatory Controls ensure a robust control framework is in place to evidence compliance. As a member of the AWM Regulatory Management team, you will: - Build a deep understanding of the Asset and Wealth Management business by analyzing the applicability and impact of regulatory policies and rules to various business areas - Collaborate with the team, key stakeholders, and regulatory experts to simplify complex regulatory challenges - Drive business engagement and lead strategic cross-divisional discussions on regulatory change matters - Utilize appropriate methodologies and governance tools to deliver analysis and agreed solution approaches in a timely manner - Establish strong senior stakeholder relationships necessary for complex analysis across multiple businesses Skills & experience we are looking for: - Bachelor's degree and 3 - 6 years of experience in management consulting or a related field in financial services with active involvement in new regulation assessments and implementations - Understanding of asset management products, the asset management operating model, and ecosystems - Proficiency in regulatory strategy, roadmap, analysis, and interpretation of new regulations for the business - Strong strategic mindset, analytical skills, problem-solving abilities, and critical thinking - Project management skills including defining business cases, articulating issues, solutions, and managing risks - Excellent communication and relationship-building skills with the ability to influence staff at all levels - Proven track record of owning, designing, and executing solutions for complex problems - Experience in Reg product and platform management is preferable - Ability to multitask and manage multiple projects simultaneously - Proficiency in MS Office, PowerPoint, and Excel, with the ability to learn new tools quickly Goldman Sachs is committed to fostering diversity and inclusion within the workplace and beyond. The firm offers numerous opportunities for professional and personal growth, including training and development programs, firm-wide networks, benefits, wellness offerings, personal finance resources, and mindfulness programs. Learn more about the culture, benefits, and people at GS.com/careers.,

The Asset & Wealth Management Strategic Transformation Office has recently been established to oversee comprehensive large-scale transformations. The primary objectives include enhancing scalability, driving revenue growth, improving client experience, and elevating controls to optimize the operating platform. The group consists of four critical functions: Product Management & Design, Change Management, Regulatory Management, and Monitoring & Testing. The AWM Regulatory Management team is responsible for managing the regulatory strategy and roadmap for the AWM business globally. As the key business partner for regulatory matters, the team focuses on Regulatory Solutions and Regulatory Controls. They assess the impact of regulations on business activities and ensure a robust control framework is in place to evidence compliance. Regulatory Solutions involve representing the business on regulatory change governance forums and acting as co-sponsors of new regulations. The team performs detailed assessments on new regulations, identifies the impact on existing AWM capabilities, and supports the design of appropriate solutions to deliver regulatory requirements. Additionally, they advise on regulatory considerations for the launch of new products, funds, or trading activity. As a member of the team, you will build a deep understanding of the Asset and Wealth Management business by analyzing the applicability and impact of regulatory policies and rules to each business area. You will collaborate with the team, key stakeholders, and regulatory experts within the firm to simplify complex problems (regulatory challenges). Your role will involve driving business engagement, leading strategic cross-divisional discussions on regulatory change matters, and deploying appropriate methodologies and governance tools to deliver analysis and agreed solution approach. Building strong senior stakeholder relationships will be essential when performing complex analysis across multiple businesses. Skills & Experience: - Bachelor's degree and 5+ years of experience in management consulting or a related field in financial services with active involvement in new regulation assessments and implementations - Understanding of asset management products, traditional and alternatives products, and the wider asset management operating model and ecosystems - Proficiency in working as part of a business or regulatory function owning the regulatory strategy, roadmap, analysis, and interpretation of new regulations - Strong analytical, problem-solving, and critical thinking skills - Project management skills, including defining business cases and scope, articulating issues, challenges, risks, dependencies, and solutions - Communication and relationship-building skills with the ability to influence all levels of staff - Proven track record of owning, designing, and executing solutions for complex problems - Experience in Reg product and platform management is preferable - Ability to multitask and manage multiple projects simultaneously - Proficiency in MS Office, PowerPoint, and Excel, with the ability to learn new tools quickly Goldman Sachs is committed to fostering diversity and inclusion in the workplace and beyond, providing opportunities for professional and personal growth. The firm offers training and development opportunities, firmwide networks, benefits, wellness and personal finance offerings, and mindfulness programs. Learn more about the culture, benefits, and people at GS.com/careers. Goldman Sachs is an equal employment/affirmative action employer, committed to finding reasonable accommodations for candidates with special needs or disabilities during the recruiting process.,

Key Responsibilities Lead and guide the ongoing design execution and continuous improvement of control monitoring of all risk types within business units to ensure accuracy consistency and aggregation. Ensure effective and appropriate testing validation and documentation of review activities for risk programs risks and controls. Incorporate results of quality monitoring activities 2nd line testing SOX testing and complaints reporting in control environment assessments and issue identification. Evaluate and test control environment effectiveness related to change management initiatives. Make recommendations and provide practical solutions for the update of Business Unit control policy procedure and risk/control documentation. Evaluate and test control environment effectiveness related to change management initiatives. Skills & Attributes B.Tech or BE in Computer Science or IT required Strong understanding of operational effectiveness and regulatory controls Conceptual ability to analyze problems and devise solutions Excellent time management and organizational skills Excellent verbal and written communication skills Contact Person: Sneha Contact Number: 9840082230 Email: sneham@gojobs.biz

Position - Assistant Manager / Manager - Global Market Front Office Regulatory Permanent Control Position Purpose The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance & Control Frameworks specifically for Sanctions & Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors. Responsibilities Direct Responsibilities PROTECTION Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions GOVERNANCE Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution RISK ASSESSMENT & CONTROLS Assess and document APAC regulatory landscape for capital markets activities Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan Perform data analysis to assess quality of data feeding regulatory controls Execute regulatory controls and report results in governance documentation Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings Technical & Behavioral Competencies Key required skills REGULATORY BACKGROUND Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope CONTROLS PROFICIENCY Can assess control performance in terms of design and implementation quality Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders Has good data mining and data analysis skills (Excel at least, Python a plus) WRITTEN PRESENTATION SKILLS Can prepare quality presentations for internal regulatory governance forums (ppt) ANALYTICAL SKILLS Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required) Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered). ADMIN SKILLS Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums) Specific Qualifications (if required) Working experience: 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer) Experience with Capital markets Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders Experience with drafting and presenting PowerPoint presentation on a regular basis Skills Referential Behavioural Skills : (Please select up to 4 skills) Ability to deliver / Results driven Attention to detail / rigor Communication skills - oral & written Choose an item. Transversal Skills: (Please select up to 5 skills) Ability to develop and leverage networks Ability to manage / facilitate a meeting, seminar, committee, training Analytical Ability Choose an item. Choose an item. Education Level: Master Degree or equivalent Experience Level At least 5 years