Asset & Wealth Management-Client Onboarding-Audit Response-Client-Salt Lake City-Associate

Goldman Sachs • Salt Lake City, UT

22h

About The Position

Private Wealth Management (PWM) secures, develops and manages relationships with
high-net-worth individuals, their families, family offices and foundations. PWM
assists clients with building and preserving their financial wealth by creating
and implementing long-term asset allocation within the context of each client’s
particular risk tolerance, and by providing access to innovative investment
ideas and opportunities. PWM professionals develop customized investment
strategies and offer a full array of wealth management products and services,
including private banking and trust company services.

YOUR IMPACT

The core mission of the Audit Response Team is to serve as a centralized hub for
managing external and regulatory audit requests. The team is designed to
streamline the information-gathering process, ensure the integrity and quality
of deliverables through rigorous internal reviews, and provide clear scoping for
the remediation of regulatory findings. By centralizing these functions, the
team aims to improve efficiency through self-sourcing data and recurring
queries, while maintaining high standards of compliance and reporting for Wealth
Management Operations.

This role will be a key member of the Wealth Management Operations team
overseeing critical audit requests and ensure efficient and high-quality
outcomes are obtained during the audit process. The role of the employee will
include, but is not limited to the following:

Liaising with key stakeholders and/or utilising tooling available to curate
high quality audit deliverables for any external requests related to WM
Operations functions. 
Manage the review and approval process for any external requests related to
WM Operations functions
Ensure tracking, visibility and reporting for any external requests related
to WM Operations functions 

The employee will be collaborating closely with PWM Business, Legal, Compliance,
Operations, Engineering and other functional teams.

Requirements

• 4+ years’ relevant experience, in a comparable role preferably including regulatory change/consulting or Audit/Compliance background
• Candidates should be fluent in English and hold a bachelor’s degree or higher in a relevant field.
• Have a strong attention to detail and strategic mindset with strong project management abilities, proficiency in data analysis, and the ability to manage multiple stakeholders and deadlines independently.
• Experience in building and managing stakeholder relationships, coordinate and collaborate strong-minded stakeholders across functions and influencing them to focus on the key problems and outcomes.
• Drive to execute, ability to collaborate and learn from others in the team and deliver high quality deliverables.
• Excellent communication and interpersonal skills, written and oral; confident in interaction with senior stakeholders.

Responsibilities

• End-to-End Request Management: Manage the full lifecycle of audit information requests, ensuring timely and accurate delivery.
• Cross-Functional Coordination: Proactively collaborate with Operations teams to gather and consolidate documentation, focusing on refining the scope of deliverables.
• Process Optimization: Develop recurring queries and data pulls for recurring audits to improve efficiency and self-sourcing capabilities.
• Data Integrity: Ensure all gathered information is accurate and meets the specific requirements of the audit request.
• Internal Approvals: Facilitate the internal review process, ensuring all necessary approvals are obtained before final submission.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level