Controllers – Regulatory Services – Vice President

Controllers – Regulatory Services – Vice President

Requirements

• Degree in Accounting or Finance preferred.
• 5 + years of experience; knowledge of CFTC Customer Protection regulations preferred, but not required
• Committed to a career in financial services.
• Ability to work in a team under pressure.
• Ability to interact and build relationships with people from different departments and levels of seniority.
• Strong Excel skills.
• Solid written and presentation skills.
• Excellent analytical and control mindset.

Responsibilities

• Compute and file applicable customer segregation reports and investment detail reports with the CFTC.
• Review trends in the FCM business for senior management, including the composition of its customer base, the general trading activity of its customers, the types of markets and products traded by its customers, the volatility and liquidity of the markets and products traded by its customers.
• Work closely with external regulators and Internal Audit on examinations of GS&Co.’s segregation functions.
• Work with Engineering teams to enhance controls and streamline processes.
• Review customer margin and segregation processes with Operations and Legal Departments.
• Document and maintain policies and procedures for Controllers oversight of customer asset protection.
• Calculate CFTC minimum capital requirements and capital charges related to the listed derivative business.
• Design processes that are designed to detect and prevent violations of rules and regulations.
• Knowledge of CFTC rules and interpretations, including Joint Audit Committee Regulatory Alerts.

Preferred Qualifications

• Knowledge of CFTC Customer Protection regulations preferred, but not required.