Goldman Sachs

Internal Audit, Compliance & Legal, Associate - Salt Lake City

3+ months agoSalt Lake City, UT



The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

The primary role of Internal Audit is to help protect the assets, reputation and sustainability of the organization. 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. IA assists the firm's Board of Directors Audit Committee in fulfilling its oversight responsibilities and regularly interacts with the external independent auditors.

The Compliance and Legal team in Salt Lake City is responsible for Global audits related to Compliance functions (e.g., surveillance, AML)


General Responsibilities:

  • Develop and maintain an in-depth understanding of compliance and legal functions and the business areas, products, and activities supported
  • Assist in every step of an audit, including documentation, across scoping, planning, fieldwork and reporting
  • Performing walkthroughs with stakeholders to perform control design assessments and presenting results of work performed to management
  • Execute audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
  • Identify risks, assess mitigating controls, and make recommendations on improving the control environment
  • Prepare commercially effective audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
  • Follow-up on open audit issues and their resolution
  • Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure
Compliance and Legal Audit - Team Specific Skills and Experience:
  • Internal audit, compliance or quality assurance testing experience
  • Understanding of compliance program components, risk and control processes
General Skills and Experience:
  • Strong leadership, interpersonal, and relationship management skills
  • Strong verbal and written communication skills
  • Able to work under minimal supervision on individual tasks or on team projects
  • Team-oriented with a strong sense of ownership and accountability
  • Highly motivated with strong analytical skills, willing and able to learn new business and system processes quickly
  • Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
  • Accurate, accountable and able to multitask while managing both time and work load
  • Approximately 4 years of experience in a public accounting, consulting, internal audit and/or regulatory agency examiner role within the financial services industry or a related control function (i.e., Compliance Officer or Legal coverage)
  • 4-year degree in a finance, accounting, or quantitative discipline and ideally a graduate degree in a related subject
  • Relevant certification or industry accreditation (e.g., CAMS, CIA) is a plus
  • The following experiences are a plus, but should not preclude a candidate from considering the role if little or no experience with the following:
    • using data analytics in audits
    • executing integrated business and technology audits
    • auditing the compliance and legal functions within an investment bank or other financial services company