Internal Audit, Global Markets Division Auditor, Associate/ Vice President, Birmingham

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.

The primary role of Internal Audit is to help protect the assets, reputation and sustainability of the organization. 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.  IA assists the firm's Board of Directors Audit Committee in fulfilling its oversight responsibilities and regularly interacts with the external independent auditors. 

The IA Global Markets team in Birmingham is responsible for auditing Global Markets business areas, its products across Fixed Income and Equities, and supporting functions within the EMEA (Europe, Middle East and Africa) region. We are 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 and learn more about Global Markets

HOW YOU WILL FULFIL YOUR POTENTIAL

• Collaborate and work as a team across IA Global Markets, IA and Goldman Sachs
• Develop and maintain an in-depth understanding of Global Markets, its products, and supporting functions
• Use and develop data analytics (DA)/computer assisted audit tools and techniques to assist in execution of audits and risk assessment
• Assist in every step of an audit, including documentation, across scoping, planning, fieldwork and reporting
• Performing walkthroughs with stakeholders to perform control design assessments and presenting results of work performed to management
• 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
• Prepare commercially effective audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
• Follow-up on open audit issues and their resolution
• Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure

SKILLS AND EXPERIENCE WE ARE LOOKING FOR

• Approximately 7 years + of prior experience in auditing controls. This could be in an IA team, or consulting, regulatory body or a related control function, with controls testing as part of your role, i.e. compliance testing group or a risk and control team.
• Project management experience, including oversight and leadership of junior staff
• Thorough understanding of Risk Management (Market, Credit, Liquidity, Operational and Model Risk Management) and financial products
• Knowledge of financial markets rules and regulations (CFTC, FINRA, Volcker, SEC, etc.)
• Team-oriented with a strong sense of ownership and accountability and able to work under minimal supervision on individual tasks or on team projects
• Accurate, accountable and able to multitask while managing both time and work load
• Highly motivated with strong analytical skills, willing and able to learn new business and system processes quickly
• Relevant certification or industry accreditation (e.g., ACA, CAMS, CIA, CFA) is a plus
• Graduate degree, preferably in a related subject, science and humanity degrees as well as more specific accountancy or economics degrees will be considered