Regulatory Middle Office Analyst - London

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Goldman Sachs International
  • 18 Oct 18

See job description for details


Operations is a dynamic, multi-faceted division 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.


Our Regulatory Middle Office team within GSAM Operations, is seeking a professional who is looking to provide key subject matter expertise on areas affecting the firm's regulatory reporting obligations. This will involve broad collaboration across global Operations, Compliance, Legal, traders and various industry forums.


Goldman Sachs Asset Management (GSAM) is the investment management arm of the firm. Asset Management Operations provides service delivery and risk management in order to create a rigorous control environment for the investment management process.

The GSAM Regulatory Middle Office (RMO) team is responsible for overseeing GSAM's regulatory reporting and providing subject matter expertise within various regulatory reform initiatives and external audits. The team serves as the regulatory interface for internal and external business partners including Regulators, Auditors, Fund Administrators, Custodians, Controllers, Legal, Compliance, Trading Desks, Client Relationship Management, Technology, and other Operational teams. The RMO team provides oversight and governance over regulatory filings and along with assessing potential impacts from business change events.

BAU team:

  • Holistic ownership of ongoing regulatory reporting adherence, covering both transaction and position reporting regimes, within EMEA and Asia.
  • Provide regulatory subject matter expertise, associated with ongoing reporting, exception management, client implementations and query resolution.
  • Ongoing maintenance of regulatory rule interpretation, ensuring documentation remains current and fit-for-purpose, along with all business requirement documents and procedures.
  • Enable transparency of open operational and regulatory risks, through the generation of metrics and regular status updates.
  • Application of assurance based controls, in order to identify trends and thematics in existing reporting.
  • Management of both potential and confirmed reporting issues, ensuring appropriate escalation and documentation applied, in line with embedded risk framework.
  • External vendor relationship management, partnering with vendors to assess performance and service level being provided to the organisation.
  • Generate and conduct full testing of new regulatory implementations
  • Maintain clear business continuity plans, testing in a regular basis to ensure plans remain up-to-date.
  • Pro-actively review processes in an effort to gain efficiencies and improved risk oversight


  • Bachelors degree
  • Minimum of 2 years of work experience


  • Experience in the Finance Industry, ideally Asset Management Operations
  • Regulatory experience, inc. EMIR and especially MiFID II
  • Fund accounting experience
  • Risk management focus
  • Trade life cycle knowledge
  • Advanced Microsoft Excel skills
  • Business Analysis knowledge
  • Team oriented
  • Excellent interpersonal skills and the ability to forge strong relationships with internal and external clients
  • Strong verbal and written communication skills with the ability to influence a wide range of stakeholders
  • Strong analytical and problem-solving skills
  • Ability to combine tactical and strategic thinking
  • Experience with change management or process improvement

ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.