Internal Audit, FICC Auditor, Vice President, Salt Lake City

INTERNAL AUDIT

In Internal Audit, we ensure that Goldman Sachs maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. Our group has unique insight on the financial industry and its products and operations. We're looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm's operations and control processes.

 WHAT WE LOOK FOR

Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, are analytical, exercise professional skepticism, and are able to challenge and discuss effectively with management on risks and control measures.  We look for individuals who enjoy learning about audit, businesses and functions, have innovative and creative mindsets to adopt analytical techniques to enhance audit techniques, enjoy building relationships and are able to evolve and thrive in teamwork and in a fast-paced global environment.

 YOUR IMPACT

As the third line of defense, Internal Audit's mission is to independently assess the firm's internal control structure, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks, and to raise awareness of control risk and monitor the implementation of management's control measures. In doing so, internal Audit: 

• Communicates and reports on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
• Raises awareness of control risk
• Assesses the firm's control culture and conduct risks
• Monitors management's implementation of control measures

Goldman Sachs Internal Audit comprises individuals from diverse backgrounds including chartered accountants, developers, risk management professionals, cybersecurity professionals, and data scientists. We are organized into global teams comprising business and technology auditors to cover all the firm's businesses and functions, including securities, investment banking, consumer and investment management, risk management, finance, cyber-security and technology risk, and engineering.

RESPONSIBILITIES

• Maintain an in-depth understanding of the firm's various regulatory compliance programs
• Manage and execute audits focused on the firm's compliance with the regulatory and internal policy requirements including planning and scoping, fieldwork and audit test plans, and reporting
• Drive walkthroughs with stakeholders to perform control design assessments 
• Lead audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
• Coordinate with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment
• Communicates and reports on the audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
• Follow-up on open audit issues and validate their resolution
• Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure
• Develop and maintain key stakeholder relationships and regularly engage with the business during the year to assess changes in the risk and control environment

Skills and Relevant Experience

• Bachelor's degree (or higher) in a relevant discipline
• 8-10 years of relevant work experience in Internal Audit, Compliance, or Risk functions
• Familiarity with applicable SEC, FINRA, CFTC and NFA, Federal Reserve or Global Banking rules 
• Prior experience in and an understanding of swaps and other derivative products is preferred
• Highly motivated, delivery focused, analytical and detailed self-starter with proven record in a team-based environment
• Excellent communications skills (oral and written) to clearly articulate issues and ideas with different levels across stakeholders
• Strong leadership, interpersonal, and relationship management skills
• Relevant certification or industry accreditation (e.g., CPA, CIA) is a plus
• Experience managing audit engagements and teams across locations
• Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint
• Experience with Data Analytics tools and techniques
• Proficiency in Microsoft Office Suite
• Knowledge of financial markets, products and financial and non-financial risk management (Market, Credit, Liquidity, Operational and Counterparty risk)
• Strong leadership, interpersonal, and relationship management skills
• Ability to work effectively across a large audit team, understanding the team's role in the overall strategy of the firm
• Strong leadership, interpersonal, and relationship management skills
• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
• Must be highly motivated with strong analytical skills, willing and able to learn new businesses and processes quickly

Preferred Qualifications

 Relevant certification or industry accreditation (e.g., CPA, CIA) is a plus

• Experience managing audit engagements and teams across locations
• Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint
• Experience with Data Analytics tools and techniques
• Proficiency in Microsoft Office Suite
• Knowledge of financial markets, products and financial and non-financial risk management (Market, Credit, Liquidity, Operational and Counterparty risk)
• Strong leadership, interpersonal, and relationship management skills
• Ability to work effectively across a large audit team, understanding the team's role in the overall strategy of the firm
• Strong leadership, interpersonal, and relationship management skills
• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
• Must be highly motivated with strong analytical skills, willing and able to learn new businesses and processes quickly