AWM, Marcus, Controls Monitoring and Testing, Vice President, Chicago

Wealth Management

Across Wealth Management, Goldman Sachs helps empower clients and customers around the world to reach their financial goals. Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees. Our direct-to-consumer business provides digital solutions that help customers save and invest. Across Wealth Management, our growth is driven by a relentless focus on our people, our clients and customers, and leading-edge technology, data and design.

Marcus by Goldman Sachs

• Develop and execute a road-map to implement controls monitoring and testing for key controls.
• Assess risks (regulatory and operational) and associated controls to identify relevant control monitoring and testing strategies to proactively assess control failures.
• Ensure timely and periodic execution of controls monitoring and testing as per plan.
• Analyze control monitoring and testing outputs to assess thematic control failures.
• Collaborate with cross-functional teams to review control testing results and assess root cause.
• Lead results aggregation, analysis and reporting senior stakeholder review and risk committees.
• Collaborate with other Controls functions to inform process and controls design, based on control testing outcomes.
• Engage with second- and third-line functions as required to inform applicable compliance and audit examination.
• Hire, develop and retain talent.
• Innovate controls testing strategies and tools to ensure efficiency in testing, analysis and reporting.
• Collaborate with internal stakeholders to infuse a culture of risk awareness and regulatory compliance.
• Contribute to Risk Governance initiatives by providing expertise and thought leadership.

• A minimum of 10 years of experience in Operational Risk, Compliance, Controls or Audit functions in the financial services industry.
• Expertise in leading, developing and implementing controls monitoring and testing functions.
• Strong leadership skills with experience in managing and motivating teams.
• Excellent communication and interpersonal skills to effectively engage with internal and external stakeholders.
• Ability to work autonomously and navigate complex organizational structure.
• Exceptional analytical and decision-making skills.
• Bachelor's degree required; an advanced degree or relevant professional certifications would be advantageous.