Internal Audit, Compliance

1週間前

Minato 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. We commit people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Our people are our greatest asset – we say it often and with good reason. It is only with the determination and dedication of our people that we can serve our clients, generate long-term value for our shareholders and contribute to the broader public. We take pride in supporting each colleague both professionally and personally. From collaborative workspaces and ergonomic services to wellbeing and resilience offerings, we offer our people the flexibility and support they need to reach their goals in and outside the office.

INTERNAL AUDIT

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.

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.

YOUR IMPACT

As the third line of defense, Internal Audit's mission is to provide independent, objective and timely assurance and is a function designed to assist the Audit Committee, management and regulators by:

  • Communicating and reporting on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
  • Raising awareness of control risk
  • Assessing the firm's control culture and conduct risks
  • Monitoring management's implementation of control measures

    • Goldman Sachs Internal Audit comprises individuals from diverse backgrounds including chartered accountants, developers, risk management professionals, cybersecurity professionals, and data scientists. We are organized into global teams comprising business and technology auditors to cover all the firm's businesses and functions, including global banking and markets, asset and wealth management, platform solutions, risk management, controllers, cyber-security and technology risk, and engineering.

    Responsibilities:

  • Develop and maintain a good understanding of business areas, its products, and supporting functions
  • Assist in every step of an audit including scoping, planning, fieldwork and reporting
  • Execute audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
  • Identify risks, assess mitigating controls, and make recommendations on improving the control environment
  • Work with experienced team members to prepare commercially effective audit conclusions and findings, and present to IA senior management and business clients
  • Follow-up on open audit issues and their resolution
  • Assist in the audit team's continuous monitoring effort to cover market and regulatory events, business and technology updates and audit/reviews completed
  • Participate in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure

    • Skills and Relevant Experience:

  • At least 2 years of experience in a public accounting or internal audit role within the financial services industry or a related control function is preferred
  • Excellent team player who is enthusiastic, motivated to learn and detailed oriented
  • Strong Japanese and English communication skills (written and verbal) a must. Additional Asian language will be an asset.
  • In-depth technical knowledge of relevant product areas including experience in central compliance functions, regulatory, legal, anti-financial crime, anti-money laundering, anti-bribery processes
  • Strong project and time management skills
  • Good communicator who can manage multiple stakeholders, keen to drive consensus and influence the outcomes
  • University degree in Finance, Accounting, Law or with quantitative discipline, and ideally a graduate degree in a related subject

    • Preferred Qualifications:

  • Relevant certification or industry accreditation (., CPA, CFA, CIA, CAMS, CFE)
  • Prior experience with a bank or securities regulatory agency
  • Experience with Agile Auditing and Data Analytics is a plus
    • 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 /careers.
    We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

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