Internal Audit, Securities Trading Technology, Associate, New York
MORE ABOUT THIS JOB
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.
Internal Audit independently assesses the firm's internal control structure. We provide assurance that financial reporting is reliable, that there is compliance with applicable laws and regulations and that the firm's operations are effectively controlled. We assist management in 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.
Internal Audit is organized into global teams of business and technology auditors:
- Securities - covers the Firm's Sales, Trading and Insurance businesses; including related supporting control functions such as Operations, Technology, Product Control and Divisional Compliance.
- Investment Management - covers the firm's banking activities, Global Investment Research, Private Wealth Management, Asset Management and Merchant Banking businesses.
- Corporate - covers the firm's Risk Management, Finance, Corporate Governance, Legal, Compliance and Regulatory Reporting areas as well as Human Capital Management, Services and the Executive Office.
- Work closely with an integrated audit team to develop and maintain an in-depth understanding of key business and technology areas.
- Execute audit testing and supervise junior team members to ensure audit objectives are met (e.g. timely completion of all deliverables, high quality documentation, effective and efficient audit fieldwork and building of strong stakeholder relationships)
- Lead and execute on many cross functional tasks (i.e. quantitative analysis, statistical inference and data analytics) in order to evaluate and risk assess a business or technology process in a short amount of time.
- Analyze processes to evaluate the design and effectiveness of the relevant technology controls by designing and executing tests to validate identified system control features, which may require code inspection, scripting, and re-performance of system processes.
- Liaise with senior stakeholders to discuss matters of emerging risk, regulatory inquiry and the issues affecting the day-to-day control environment.
- Prepare commercially effective audit conclusions and findings, and present to IA senior management and clients.
- Participate in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure.
RESPONSIBILITIES AND QUALIFICATIONS
- Bachelor's degree holder in Technology, Finance or Engineering (e.g. Computer Science, Computer Engineering, Information Systems, Quantitative Finance, Financial Engineering)
- Minimum 4+ years of experience either in technology function (e.g., Developer, Systems Analyst.), or in an Big 4 audit role, or in a technical project management role.
- Should have good working knowledge of programming languages, databases and data analysis tools.
- Programming languages like C, C++, Java, Perl etc.
- Databases (Sybase, Oracle etc)
- Data analysis using SQL, ACL, Spotfire, Excel or similar tools.
- Financial industry experience is preferred but at minimum an intense interest to build knowledge in the operational and financial risks associated with the secondary trading markets across multiple asset classes but especially in equities and securitized products (i.e. stocks, options, ETF's and convertibles)
- Good interpersonal skills and excellent written/oral communication skills. Ability to synthesize complex technical topics and prepare and deliver concise and visual presentations to senior management.
- Excellent team player who is energetic, enthusiastic and curious to learn.
- Experience leading a team or a function with a strong sense of ownership and accountability
- MS degree preferred
- Previous auditing experience
- Solid knowledge of the brokerage industry, capital markets, and securities products
- Experience with electronic trading applications, order management systems and algorithmic trading strategies.
- Project management or technology risk certifications a plus (PMP, Lean Six Sigma, ITIL, CISA)
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., 2017. All rights reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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