Technology Audit- Compliance and Legal, Vice President, Dallas

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; and
• 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 securities, investment banking, consumer and investment 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. 

Compliance and Legal - Technology Audit

Compliance and Legal Technology IA team is responsible to primarily cover Compliance and Legal Engineering functions including firm-wide Surveillance Monitoring, AML and Sanctions Screening, Control Room Compliances, etc. As a CL Technology Auditor, you will be involved to provide assurance on the data quality, surveillance system logic, metrics generation, along with General technology controls for underlying applications.

As part of the third line of defense, you will be involved in independently assessing the firm’s overall control environment, and communicating the results to the firm’s local and global management the effectiveness of the firm’s controls that mitigate current and emerging risks, and monitoring the management’s implementation of control measures.  In doing so, you are supporting the provision of independent, objective and timely assurance around the firm’s internal control structure, and supporting the Audit Committee, the Board of Directors and Risk Committee in fulfilling their oversight responsibilities.

You will play a vital role in the scoping and planning of the audits, deploy audit and analytical procedures and techniques to assess the design and operating effectiveness of the controls to mitigate the risks, and discuss the results with the firm’s local and global management.  Specifically, you will:

• Assist the risk assessment of the business units to identify the key risk areas
• Assist/lead the audits through their end-to-end lifecycle, including scoping and planning, meeting with key stakeholders within the area being reviewed, identifying key risks and controls to be assessed, executing audits, reviewing audit documentation, and reporting audit results. Specifically focus on the following:
  • Analyze the design of controls around the underlying system architecture in the context of application controls or information technology controls, and its impact on the business.
  • Design and execute testing approach to verify the effectiveness of the key controls identified in line with IA Methodology, which may require data analysis, code inspection and re-performance of system processes.
  • Document the test work performed and results as per the Internal Audit guidelines.
• Assist in vetting audit observations with stakeholders.
• Assist in tracking, monitoring and validating remediation of the risks identified in the audits.

Basic Qualifications

• 6+ years of experience as a technology auditor, leading audits covering IT application and general controls, performing risk assessments, prepare audit plans, building stakeholder relationships, presenting audit scope, findings to senior management
• Experience of managing teams across locations
• Understanding of software development and system architecture
• High level understanding of databases, operating systems and messaging
• Proficiency in Excel
• Strong written and verbal communication skills 

• Understanding of Financial Crime Compliance, Sanction screening, Anti Money Laundering and common financial products
• Proficiency in SQL, R, or other data analysis languages
• Ability to review (Java, C#, C++, Python, VBA macros etc.)
• Experience with Data Analytics tools and techniques
• Relevant certification or industry accreditation (e.g., CISA, CISSP, CAMS) 

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.