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Goldman Sachs

Goldman Sachs. Equity Operations. Equity Operations at GS. Goldman Sachs Global Operation Equity Operations. Client. Sales Trader. Trader. The “Street”. Equity Trade Management - Booking System. Equity Trade Support. Settlement System. DTC. Fails. U.S. Equity Trade Flow.

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Goldman Sachs

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  1. Goldman Sachs Equity Operations

  2. Equity Operations at GS • Goldman Sachs • Global Operation • Equity Operations

  3. Client Sales Trader Trader The “Street” Equity Trade Management - Booking System Equity Trade Support Settlement System DTC Fails U.S. Equity Trade Flow

  4. Areas of Operational Concern • Operational Risk • Vulnerable Areas • Controlling Operational Risk • QA and Productivity • Areas of Analysis • Additional Tools

  5. Suggestions • Further Increase STP • Industry Standards for Derivative settlement • Tie compensation to accuracy and reduced error rates • Apply modeling techniques to resource scheduling for maximum efficiency and service levels

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