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Internal Audit – Securities – Vice President - New York
Goldman Sachs USA
September 15, 2018
New York, New York
MORE ABOUT THIS JOB 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.
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 Internal Audit (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.
RESPONSIBILITIES AND QUALIFICATIONS RESPONSIBILITIES AND QUALIFICATIONS General Responsibilities:
Develop and maintain an in-depth understanding of business areas, its products, and supporting functions
Execute audit testing and supervise junior team members 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 IA senior management and business clients
Follow-up on open audit issues and their resolution
Participate in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure
General Skills and Experience:
Team-oriented with a strong sense of ownership and accountability
Strong leadership, interpersonal, and relationship management skills
Strong verbal and written communication skills
Solid analytical skills
In-depth technical knowledge of relevant product areas
Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
6-10 years of experience in a public accounting or internal audit role within the financial services industry or a related control function
4-year degree in a finance, accounting, or quantitative discipline, and ideally a graduate degree in a related subject
Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series) is a plus
Securities Team Specific Skills and Experience:
Strong organizational and project management skills with the ability to multi-task and meet tight deadlines while remaining organized in a fast-paced, dynamic environment
Excellent critical thinking and problem solving skills with the ability to learn both firm and industry standards
Auditing complex business processes including sales, trading, risk management, product control and operations functions
Strong written and verbal communication skills to discuss and present audit findings to senior business stakeholders
Relationship building and team leadership skills with the ability to work effectively across a large global team
Audit techniques, such as data analysis, control design assessments, control effectiveness testing, outcome based testing
Systems knowledge and familiarity with general technology controls
Preferred comprehensive knowledge of market regulations impacting equities businesses such as FINRA Market Access Rule 15c3-5, FINRA and SEC Rules for Best Execution, CME Rule 526 for Futures Block Trades
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.