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    Internal Audit Swap Dealer Vice President-Salt Lake City - Goldman Sachs

    Goldman Sachs
    Goldman Sachs Salt Lake City, United States

    1 week ago

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    Description
    I
    What We Do
    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.

    Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

    As the third line of defense, Internal Audit's (IA) mission is to independently assess the firm's overall control environment, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks


    In doing so, IA:

    • 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

    IA supports the Board of Directors' Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firm's internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of management's control measures.

    Global Banking and Markets Audit provides audit coverage for the firm's Global Banking and Markets Division and related supporting control functions such as Operations, Engineering, Product Control and Compliance.

    Who We Look For

    Goldman Sachs Internal Auditors demonstrate a strong risk and control mindset, are detail oriented, possess curiosity and sound judgment, and are able to adapt to a dynamic risk and regulatory landscape.

    We look for individuals who can collaborate across global teams, foster lasting stakeholder relationships and can drive creative solutions to enhance audit techniques.


    RESPONSIBILITIES AND QUALIFICATIONS
    Responsibilities

    • Develop and maintain an in-depth understanding of the firm's Swap Dealer compliance program
    • Manage and execute audits focused on the firm's compliance with the Swap Dealer requirements including planning and scoping, fieldwork and audit test plans, and reporting
    • Drive walkthroughs with stakeholders to perform control design assessments
    • Lead audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
    • Coordinate with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment
    • Communicates and reports on the audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
    • Follow-up on open audit issues and validate their resolution
    • Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure
    • Develop and maintain key stakeholder relationships and regularly engage with the business during the year to assess changes in the risk and control environment
    Basic Qualifications

    • Bachelor's degree (or higher) in a relevant discipline
    • 8-10 years of relevant work experience in Internal Audit, Compliance, or Risk functions
    • Prior experience in and understanding of laws, rules, and regulations pertaining to swap dealer requirements, including Title VII of the Dodd-Frank Act, associated CFTC and SEC regulations, and NFA rules
    • Prior experience in and understanding of swaps and other derivative products
    • Highly motivated, delivery focused, analytical and detailed self-starter with proven record in a team-based environment
    • Excellent communications skills (oral and written) to clearly articulate issues and ideas with different levels across stakeholders
    • Strong leadership, interpersonal, and relationship management skills
    Preferred Qualifications

    • Relevant certification or industry accreditation (e.g., CPA, CIA) is a plus
    • Experience of managing audit engagements and teams across locations
    • Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint
    Experience with Data Analytics tools and techniques

    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
    We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process


    Learn more:
    The Goldman Sachs Group, Inc., 2023. All rights reserved.
    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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