Internal Audit, FICC, Vice President, Salt Lake City

Goldman Sachs•Salt Lake City, UT

63d

About The Position

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. TEAM OVERVIEW 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.

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 fixed income products and markets
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

Nice To Haves

Relevant certification or industry accreditation (e.g., CPA, CIA, CFA) is a plus
Experience of managing audit engagements and teams across locations
Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint
Experience with Data Analytics tools and techniques

Responsibilities

Develop and maintain an in-depth understanding of the firm's Swap Dealer compliance program
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
Manage and execute audits focused on the firm's Fixed Income, Currencies and Commodities Sales and Trading desks, including planning and scoping, fieldwork and reporting.
Strong knowledge of fixed income cash and derivative products, processes, valuations, risk management, trading practices and regulatory requirements.
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
Collaborate with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment
Strong critical thinking and business acumen, ability to understand and communicate complex control deficiencies, identify root cause, recommend and influence control enhancements
Ability to effectively 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
Develop and maintain key stakeholder relationships and regularly engage with the business during the year to assess changes in the risk and control environment