Internal Audit - Securities Technology Auditor, Associate, Hong Kong



What We Do
As the third line of defense, Internal Audit's mission is to independently assess the firm's internal control structure, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks , raise awareness of control risk and monitor the implementation of management's control measures. In doing so, internal Audit:

  • Communicates and reports on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
  • Raise awareness of control risk
  • Assesses the firm's control culture and conduct risks; and
  • Monitors management's implementation of control measures


Goldman Sachs Internal Audit is organized into global teams comprising business and technology auditors to cover all the firm's businesses and functions, including securities, investment banking, consumer and investment management, risk management, finance, cyber-security and technology risk, and engineering.

Who We Look For

Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, analytical, exercise professional skepticism and are able to challenge and discuss effectively with management on risks and control measures. We look for individuals who enjoy learning about audit, businesses and functions, have innovative and creative mindsets to adopt analytical techniques to enhance audit techniques, building relationships and are able to evolve and thrive in teamwork and in a fast-paced global environment.

Securities - Technology Audit

As a Securities Technology auditor, you will be involved in auditing various technology systems / applications used within the firm to provide assurance on the application controls related to Front Office like trade booking, Operations applications, data quality, data flows, data calculation processes used for regulatory reporting, along with other General Technology Controls including Application entitlement, Data Retention and Software Change Management.

Your Impact

As part of the third line of defense, you will be involved in independently assessing the firm's overall control environment, and communicating the results to the firm's local and global management the effectiveness of the firm's controls that mitigate current and emerging risks, and monitoring the management's implementation of control measures. In doing so, you are supporting the provision of independent, objective and timely assurance around the firm's internal control structure, and supporting the Audit Committee, the Board of Directors and Risk Committee in fulfilling their oversight responsibilities.

RESPONSIBILITIES AND QUALIFICATIONS

Responsibilities

As an Associate you will assist experienced Project Manager or act as Project Manager for assigned audits. You will assist in scoping and planning of the project/audit, discussing findings with stakeholders and prepare report of the audit with the Project Manager. You will play a vital role in audit execution focusing on the review of Technology processes and analyzing the risks involved and assessing the design and operating effectiveness of the controls implemented to mitigate the risk. You will be responsible in documenting the assessments and testing conducted and discussing the results with the firms local and global management. In addition, you will also monitor and follow up with management on the resolution of the open audit findings and maintain stakeholder relationship to monitor risk in their space.

Basic Qualifications

  • At least 4 years of experience as a technology auditor covering IT application and general controls, application development, SQA, information security, technology consulting or other relevant industry experience
  • BE/B Tech/MCA/MBA/MSc or equivalent University degree in Information Technology
  • Strong written and verbal communication skills
  • Understanding of software development concepts and system architecture
  • High level understanding of databases, operating systems and messaging
  • Proficiency in data analysis using Excel or SQL

Preferred Qualifications

  • Basic understanding of Risk and Control environment and financial products
  • Ability to review / develop code (Java, C++, Python, etc.)
  • Experience with Data Analytics tools and techniques
  • Relevant certification or industry accreditation (e.g. CISA)
  • Knowledge of Financial Products and Services
  • Project Management skills


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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