Internal Audit, Compliance & Legal, Sr. Analyst/Associate - New York
- New York, NY
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.
WHO WE ARE
The primary role of Internal Audit is to help protect the assets, reputation and sustainability of the organisation. 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 assist management in identifying risk and commercially managing risk by providing advice in developing control solutions and monitoring the implementation of management's control measures. IA assists the firm's Board of Directors Audit Committee in fulfilling its oversight responsibilities and regularly interacts with the external independent auditors.
RESPONSIBILITIES AND QUALIFICATIONS
Business Audit Associate/Sr. Analyst 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
General Skills and Experience:
- Team-oriented with a strong sense of ownership and accountability
- Strong leadership, interpersonal, and relationship management skills
- Strong verbal and written communication skills
- Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
- Solid analytical skills
- 3 to 8 years of experience in a public accounting or internal audit 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., CPA, CFA, CIA, CAMS, FRM, NASD Series) 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
ABOUT GOLDMAN SACHS
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers .
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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