Internal Audit Swap Dealer Vice President-Salt Lake City

2 weeks ago


Salt Lake, Utah, United States The Goldman Sachs Group, Inc Full time
About the Role

We are seeking a highly skilled and experienced professional to join our Internal Audit team as a Swap Dealer Audit Specialist. In this role, you will be responsible for developing and maintaining an in-depth understanding of the firm's Swap Dealer compliance program.

Responsibilities
  • Manage and execute audits focused on the firm's compliance with the Swap Dealer requirements, including planning and scoping, fieldwork and audit test plans, and reporting.
  • Drive walkthroughs with stakeholders to perform control design assessments and 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.
  • Communicate and report 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.
Requirements
  • Bachelor's degree (or higher) in a relevant discipline.
  • 8-10 years of relevant work experience in Internal Audit, Compliance, or Risk functions.
  • Prior experience in and understanding of laws, rules, and regulations pertaining to swap dealer requirements, including Title VII of the Dodd-Frank Act, associated CFTC and SEC regulations, and NFA rules.
  • Prior experience in and understanding of swaps and other derivative products.
  • 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.
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. We believe who you are makes you better at what you do and are committed to fostering and advancing diversity and inclusion in our own workplace and beyond.



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