Internal Audit, Regulatory Relations Team, Vice President, New York

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Internal Audit, Regulatory Relations Team, Vice President, New York

senior · Risk & Compliance

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.

Internal Audit’s (IA) mission is to independently assess the firm’s overall control environment, including the firm’s governance processes and controls, and risk management and capital and anti-financial crime frameworks. 

IA also supports the Board of Directors' Audit Committee by providing independent, objective and timely assurance and is a function designed to assist the Audit Committee, management and regulators by: 

• Communicating and reporting on the effectiveness of the firm’s governance, risk management and controls that mitigate current and evolving risks; 

• Raising awareness of control risk; 

• Assessing the firm’s control culture and conduct risks; and 

• Monitoring management’s implementation of control measures

IA is comprised of global functional audit teams covering the various business areas of the firm: Asset & Wealth Management, Risk, Finance, Compliance, Global Banking & Markets, and Engineering. Our group has unique insight on the financial industry and its products and operations. 

Based on IA’s responsibilities, we have extensive interactions with the various regulators.  We are looking for a detail-oriented individual who has an interest in financial markets and wants to gain insight into the firm’s operations and control processes.

Key Responsibilities 

As the liaison between IA and the regulators on matters of regulatory compliance, the Regulatory Relations Team works closely with the various IA functional teams.  The team is responsible for overseeing the examination process and coordinating regulatory interactions for IA.  The primary responsibilities and expectations of the team members include:

• Ensure that incoming regulatory matters that concern IA are appropriately tracked
• Work with the IA functional teams regarding regulatory information requests and responses
• Providing best practices for regulatory interactions, submissions and meeting management
• Monitor teams progress in completing undertakings made to regulators during inquiries and exams, among other responsibilities
• Take ownership of expanding processes and controls within the team to provide support to one of our European offices
• Participation in corporate governance groups supporting regulatory matters including providing summaries and managing follow-ups
• Senior management reporting
• Escalate situations, as appropriate, to relevant to senior leadership
• Take ownership of processes and controls within the team, drive the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
• Execute and manage ad-hoc projects 

• Maintain a centralized warehouse for documents related to requests, responses and commitments

   

Business knowledge / Qualifications

• Undergraduate degree in finance, accounting or other quantitative discipline

• Minimum of 8 years of experience in regulatory relations, finance/accounting, operational management 

• Highly organized and detail-oriented with excellent multi-tasking and follow-through ability

• Strong project and time management skills

• Good communicator who can manage multiple stakeholders, keen to drive consensus and influence the outcomes

• Strong interpersonal, verbal and written communication skills

• Proficient in Microsoft Excel, Word, PowerPoint and SharePoint or other Business Intelligence (BI) tools

• Solutions and innovation minded with strong analytical and problem-solving skills, including process re-engineering, the ability to organize and analyze and report results to various audiences 

• Energetic, self-directed and self-motivated, able to build and sustain long-term relationships with teammates and colleagues

• Excellent team player who is enthusiastic, motivated to learn and detailed oriented