Internal Audit - FICC and Equities Audit (Analyst/Associate, Hong Kong) What We Do
As the third line of defense, Internal Audit's mission is to independently assess the firm's internal control structure, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks, raise awareness of control risk and monitor the implementation of management's control measures. In doing so, internal Audit:
- Communicates and reports on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
- Raise awareness of control risk
- Assesses the firm's control culture and conduct risks;
- Monitors 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 markets, investment banking, asset management, consumer and wealth management, risk management, finance, cyber-security and technology risk, and engineering. 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.
As a Business Auditor, you will be involved in audits of various FICC and Equities processes that support the Global Banking & Markets business of the firm to provide assurance on the controls related to deal due diligence, book building, allocation, operations, along with other general business controls such as Sarbanes-Oxley 404 control assessments and other processes that support functions of GBM. How you will Fulfill your Potential:
Skills and Experience:
- Participation in planning and scoping reviews, meeting with the stakeholders within the area being reviewed to understand and walk through the business and technology processes and identifying the key risks and controls to be assessed
- Assessment of the risk and impact of the issues identified on reviews and production of the report to management
- Ad hoc work on firmwide projects around new processes or activities and investigation of incidents
- Maintenance of internal stakeholder relationships and regular interaction with the business during the year to assess changes in the control environment and other matters arising in the businesses which may influence the coverage scope and audit plan
- Ongoing liaison with colleagues globally and internal and external stakeholders including regulators and external audit
- Follow up with stakeholders on remediation of actions coming out of issues identified during audit
- Assessment of the adequacy of the design and operating effectiveness of the controls to mitigate the key risks identified
ABOUT GOLDMAN SACHS
- Team oriented with a strong sense of ownership and accountability
- 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
- Strong verbal and written communication skills
- Relationship building skills and ability to work effectively across a global team
- Prior experience in auditing business processes within FICC and Equities sales and trading, operations and product control functions
- Experience with Agile Auditing and Data Analytics is a plus
- 2-5 years of experience in a public accounting or internal audit role within the financial services industry or a related control functions
- Relevant certification or industry accreditation (e.g., CFA, CIA)
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
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