Internal Audit - Securities Technology - Associate/Analyst - SLC Internal Audit - Securities Technology -  …

Goldman Sachs
in Salt Lake City, UT, United States
Permanent, Full time
Be the first to apply
Competitive
Goldman Sachs
in Salt Lake City, UT, United States
Permanent, Full time
Be the first to apply
Competitive
Internal Audit - Securities Technology - Associate/Analyst - SLC
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.

Job Summary & Responsibilities
As an Associate, you will be expected to:
  • Develop and maintain an in-depth understanding of securities business areas, its products, and supporting functions
  • Assist in every step of an audit including scoping, planning, fieldwork and reporting
  • 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
  • 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

Basic Qualifications
  • 3+ years of experience as a technology auditor, application engineer, information security and technology consultant or other relevant industry experience
Experience with:
  • Application security management: user entitlements, authentication, accountability, data protection
  • System architecture and design: availability, performance, scalability, data integrity
  • Technology Operations: change management, data backup and retention, performance and capacity management
  • Technology governance: technology risk management, policies and procedures, rules, regulations, intellectual property
  • Intermediate level analytical and data analysis skills (e.g., Python, SQL)
  • 4-year degree required (Computer Science, Math, MIS preferred)
  • Team-oriented with a strong sense of ownership and accountability
  • Good leadership, interpersonal, and relationship management skills
  • Strong verbal and written communication skills
  • Certification or industry accreditation (e.g., CISA, CISSP, CISM, CFA, Series 7) is a plus
  • Highly motivated with the ability to multi-task and remain organized in a fast-paced environment

Preferred Qualifications
  • Knowledge of the investment banking, brokerage industry, capital markets, securities products, regulations relevant to Bank Holding Companies.
  • Understanding of post execution trade processing and related Operations functional processes and regulatory requirements
  • Functional Expertise - Keeps up-to-date with emerging technology, business and market trends
  • Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
  • Understanding of Java, C++ or scripting languages (e.g. PERL)
  • Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
  • Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations
  • Teamwork - Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
  • Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others
  • Judgment and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
  • Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value
  • Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendations


RESPONSIBILITIES AND QUALIFICATIONS
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.

Job Summary & Responsibilities
As an Associate, you will be expected to:
  • Develop and maintain an in-depth understanding of securities business areas, its products, and supporting functions
  • Assist in every step of an audit including scoping, planning, fieldwork and reporting
  • 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
  • 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

Basic Qualifications
  • 3+ years of experience as a technology auditor, application engineer, information security and technology consultant or other relevant industry experience
Experience with:
  • Application security management: user entitlements, authentication, accountability, data protection
  • System architecture and design: availability, performance, scalability, data integrity
  • Technology Operations: change management, data backup and retention, performance and capacity management
  • Technology governance: technology risk management, policies and procedures, rules, regulations, intellectual property
  • Intermediate level analytical and data analysis skills (e.g., Python, SQL)
  • 4-year degree required (Computer Science, Math, MIS preferred)
  • Team-oriented with a strong sense of ownership and accountability
  • Good leadership, interpersonal, and relationship management skills
  • Strong verbal and written communication skills
  • Certification or industry accreditation (e.g., CISA, CISSP, CISM, CFA, Series 7) is a plus
  • Highly motivated with the ability to multi-task and remain organized in a fast-paced environment

Preferred Qualifications
  • Knowledge of the investment banking, brokerage industry, capital markets, securities products, regulations relevant to Bank Holding Companies.
  • Understanding of post execution trade processing and related Operations functional processes and regulatory requirements
  • Functional Expertise - Keeps up-to-date with emerging technology, business and market trends
  • Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
  • Understanding of Java, C++ or scripting languages (e.g. PERL)
  • Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
  • Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations
  • Teamwork - Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
  • Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others
  • Judgment and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
  • Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value
  • Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendations


ABOUT GOLDMAN SACHS
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 GS.com/careers .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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