Internal Audit-Global Markets Equities, Vice President, Salt Lake City

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

 As the third line of defense, Internal Audit’s (IA) mission is to independently assess the firm’s overall control environment, including the firm’s governance processes and controls, and risk management and capital and anti-financial crime frameworks. In doing so, IA:

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

 

IA supports the Board of Directors’ Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firm’s internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of management’s control measures. Global Banking and Markets Audit provides audit coverage for the firm’s Global Banking and Markets Division and related supporting control functions such as Operations, Engineering, Product Control and Compliance. 

Who We Look For
Goldman Sachs Internal Auditors demonstrate a strong risk and control mindset, are detail oriented, possess curiosity and sound judgment, and are able to adapt to a dynamic risk and regulatory landscape.  We look for individuals who can collaborate across global teams, foster lasting stakeholder relationships and can drive creative solutions to enhance audit techniques.

 

RESPONSIBILITIES AND QUALIFICATIONS

 

Responsibilities

• Develop and maintain an in-depth understanding of the firm’s businesses, products, risks and controls in subject areas including Equities
• Manage and execute audits including planning and scoping, fieldwork and audit test plans, and reporting
• Drive walkthroughs with stakeholders to perform control design assessment  and challenge risks and controls.
• Lead and design audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards within audit delivery timelines
• Coordinate with various 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 stakeholders across business and engineering
• Follow-up on open audit issues and operational risk incidents to validate their resolution
• Participate in department-wide initiatives aimed at continually improving Internal Audit's processes, methodology 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

 

Basic Qualifications

• Bachelor’s degree (or higher) in a relevant discipline
• 8-10 years of relevant work experience in Internal Audit, Compliance, or Risk / Controls functions
• Experience of managing audit engagements and teams across locations
• Prior experience in understanding of the businesses, products and regulations in subject areas including Equities
• 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
• Excellent time management and prioritization skills to handle multiple assignments and deadlines
• Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint

 

Preferred Qualifications

• Relevant certification or industry accreditation (e.g., CPA, CIA, CFA) is a plus
• Experience with data analytics tools (i.e., python, tableau) and technology audit framework and controls to assess issues and trends

 

 

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a l