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

Goldman Sachs • Salt Lake City, UT

10h

About The Position

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

• 7+ 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 strong attention to detail and a strategic mindset with strong problem-solving skills, data analysis skills, and able to provide creative & innovative solutions
• Proven experience in building and managing senior 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

• Strategic Leadership: Provide overall team performance management and direction for the centralized audit response function.
• Stakeholder Management: Oversee engagement with senior management and external auditors/regulators to ensure tracking, transparency and alignment on all deliverables.
• High-Risk Oversight: Personally oversee the delivery of complex or high-risk audit requests and regulatory findings. Inclusive of data analysis to ensure completeness and accuracy of deliverables.
• Remediation Scoping: Lead the effort to ensure any regulatory findings are clear regarding root causes, impacted scope, and required remediation, while coordinating with functional owners for implementation of required remedial actions to their processes.
• Quality Assurance: Ensure all team deliverables undergo a robust review and approval process prior to dissemination.

What This Job Offers

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