Internal Audit - Securities Technology - Associate
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.
RESPONSIBILITIES AND QUALIFICATIONS
Job Summary & Responsibilities
For each assigned review you will report to an experienced project manager. You will be expected to:
- Assist the risk assessment, scoping and planning of a review.
- Assist in executing the review. Specifically focusing on the following:
- Design and execute tests to validate identified application system controls, which may require data analysis, code inspection and re-performance of system processes.
- Analyze the design of controls around the underlying system architecture in the context of information technology controls such as security, availability and performance and their impact on the business.
- Analyze the business and technology processes to evaluate the effectiveness of the relevant technology controls.
- Validate that system features meet business, technology and regulatory requirements.
- Validate the quality of internal SOX assessments.
- Document the results of the test steps executed within the IA automated document project repository.
- Assist in the report preparation by preparing commercially effective audit conclusions and findings
- Assist in presenting the scope, progress and results of the review to internal, IT and business stakeholders.
- Follow-up on open audit issues and their resolution
- Participate in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure
- 3+ years of experience in a technology audit role
- Application security management: user entitlements, authentication, accountability, data protection
- System Architecture and Design: availability, performance, scalability, data integrity
- Technology Operations: change management, data backup and retention, performance and capacity management
- Technology governance: technology risk management, policies and procedures, rules, regulations, intellectual property
- Understanding of Java, C++ or scripting languages (e.g. PERL)
- Intermediate level analytical and data analysis skills (e.g., SQL or similar tools)
- 4-year degree required (Computer Science, Math, MIS preferred)
- Team-oriented with a strong sense of ownership and accountability
- Good leadership, interpersonal, and relationship management skills
- Strong verbal and written communication skills
- Certification or industry accreditation (e.g., CISA, CISSP, CISM, CFA, Series 7) is a plus
- Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
- Knowledge of the investment banking, brokerage industry, capital markets, securities products, regulations relevant to Bank Holding Companies.
- Understanding of post execution trade processing and related Operations functional processes and regulatory requirements
- Functional Expertise - Keeps up-to-date with emerging technology, business and market trends
- Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
- Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
- Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations
- Teamwork - Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
- Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others
- Judgment and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
- Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value
- Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendations
ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
© The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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