Internal Audit - Equities Auditor, Vice President, Salt Lake City

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.

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 

• Develop and maintain an in-depth understanding of the firm’s businesses, products, risks and controls in subject areas of any of the following: Equities, Equity Derivatives, Equity Sales,  Prime Brokerage, Lending, Sales, Financial Markets, and Trading
• 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 issues, 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
• Experience with presenting directly to senior leadership in a high visibility role

SKILLS AND RELEVANT EXPERIENCE

• Bachelor’s degree (or higher) in a relevant discipline
• 7 or more 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 any of the following: Equities, Equity Derivatives, Equity Sales,  Prime Brokerage, Lending, Sales, Financial Markets, and Trading
• 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), digital assets and blockchain technology, artificial intelligence 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 leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. 
 

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. 

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2023. All rights reserved.

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

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