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Goldman Sachs · 3 days ago

Internal Audit, FICC, Vice President, Salt Lake City

Salt Lake City, UT

Full-time

Onsite

Senior Level, Lead/Staff

8+ years exp

Goldman Sachs is a leading global investment banking, securities and investment management firm. The Internal Audit team is seeking a detail-oriented Vice President who will be responsible for managing and executing audits to ensure compliance with regulations and effective controls within the firm.

BankingFinanceFinancial ServicesVenture Capital

Growth Opportunities

H1B Sponsor Likely

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

Manage and execute audits focused on the firm’s Fixed Income, Currencies and Commodities Sales and Trading desks, including planning and scoping, fieldwork and reporting

Strong knowledge of fixed income cash and derivative products, processes, valuations, risk management, trading practices and regulatory requirements

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

Collaborate with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment

Strong critical thinking and business acumen, ability to understand and communicate complex control deficiencies, identify root cause, recommend and influence control enhancements

Ability to effectively communicate and report 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

Qualification

Internal Audit experienceCompliance knowledgeFixed income productsData Analytics toolsRelevant certificationRelationship managementAnalytical skillsCommunication skillsLeadership skillsInterpersonal skills

Required

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 fixed income products and markets

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

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

Manage and execute audits focused on the firm's Fixed Income, Currencies and Commodities Sales and Trading desks, including planning and scoping, fieldwork and reporting