Internal Audit

4 months ago

Dallas, United States Goldman Sachs Full time
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, 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, 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, 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

• Raise 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

You will play a vital role in the scoping and planning of the audits, deploy audit and analytical procedures and techniques to assess the design and operating effectiveness of the controls to mitigate the risks, and discuss the results with the firm’s local and global management. In addition, you will also monitor and follow up with management on the resolution of the open audit findings. 

Wealth Management Technology IA team is responsible to primarily cover the firm’s wealth management engineering function, supporting Private Wealth Management, GS Ayco, Private Bank and Marcus businesses. As a Wealth Management Technology Auditor, you will be involved to provide assurance on the data quality, automated processes, exception generation and other application specific controls, along with surrounding general technology controls.

Assist the risk assessment of the organization units to identify the key risk areas Lead/assist the audits through their end-to-end lifecycle, including scoping and planning, meeting with key stakeholders within the area being reviewed, identifying key risks and controls to be assessed, executing audits, reviewing audit documentation, and reporting audit results. Specifically focus on the following: Analyze the design of controls around the underlying system architecture in the context of application controls or information technology controls, and its impact on the business. Design and execute testing approach to verify the effectiveness of the key controls identified in line with IA Methodology, which may require data analysis, code inspection and re-performance of system processes. Document the test work performed and results as per the Internal Audit guidelines. Lead/assist in vetting audit observations with stakeholders. Lead/assist in tracking, monitoring and validating remediation of the risks identified in the audits.

BASIC QUALIFICATIONS

Minimum 9 years of experience as a technology auditor, leading audits covering IT application and general controls, performing risk assessments, prepare audit plans, building stakeholder relationships, presenting audit scope, findings to senior management Experience of managing audit engagements and teams across locations Understanding of software development and system architecture High level understanding of databases, operating systems and messaging Strong written and verbal communication skills  Proficiency in SQL, R, or other data analysis languages Ability to review code (Java, C++, Python,

PREFERRED QUALIFICATIONS

Understanding of wealth management businesses, regulatory requirements and financial products Experience with Data analytics and visualization tools and techniques (., Alteryx, Tableau, QlikView) Relevant certification or industry accreditation (., CISA, CISSP, or pursuing CFA, FRM Experience of designing efficiency improvements or automated solutions  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 /careers. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

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