Internal Audit, FICC Auditor, Vice President, Salt Lake

Position: Internal Audit, FICC Auditor, Vice President, Salt Lake City
Job-:
Vice President

Location:

Salt Lake City, UT, United States Posted: INTERNAL AUDITIn 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 IMPACTAs 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 discipline8-10 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, Power Point 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,…