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  • Goldman Sachs: Equity Operations

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    Ben Zhong
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    Goldman Sachs' equity operations handles trading and settlement of equities on a global scale. The document outlines Goldman's U.S. equity trade flow process and areas of operational concern, including operational risk and quality assurance. It suggests further increasing straight-through processing, adopting industry standards, tying compensation to accuracy, and applying modeling for scheduling resources.

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    Goldman Sachs' equity operations handles trading and settlement of equities on a global scale. The document outlines Goldman's U.S. equity trade flow process and areas of operational concern, including operational risk and quality assurance. It suggests further increasing straight-through processing, adopting industry standards, tying compensation to accuracy, and applying modeling for scheduling resources.

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    © All Rights Reserved
    Download as PPT, PDF, TXT or read online from Scribd
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    13 views5 pages

    Goldman Sachs: Equity Operations

    Uploaded by

    Ben Zhong
    Goldman Sachs' equity operations handles trading and settlement of equities on a global scale. The document outlines Goldman's U.S. equity trade flow process and areas of operational concern, including operational risk and quality assurance. It suggests further increasing straight-through processing, adopting industry standards, tying compensation to accuracy, and applying modeling for scheduling resources.

    Copyright:

    © All Rights Reserved
    Download as PPT, PDF, TXT or read online from Scribd
    Flag for inappropriate content
    Download as ppt, pdf, or txt
    of 5

    Goldman Sachs

    Equity Operations
    Equity Operations at GS

    • Goldman Sachs

    • Global Operation

    • Equity Operations
    U.S. Equity Trade Flow

    Sales The
    Client Trader
    Trader “Street”

    Equity Trade
    Management Equity
    - Booking System Trade
    Support

    Settlement System

    DTC Fails
    Areas of Operational
    Concern
    • Operational Risk
    – Vulnerable Areas
    – Controlling Operational Risk

    • QA and Productivity
    – Areas of Analysis
    – Additional Tools
    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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