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IMD - Control Oversight Group - Associate/Vice President - Salt Lake City
Goldman Sachs
New York, NY, United States
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MORE ABOUT THIS JOB
INVESTMENT MANAGEMENT
We’re a team of trusted advisors who provide innovative investment solutions to help our clients meet their financial goals. From private wealth to asset management, we work with specialists and groups from around the firm to help high-net-worth individuals and institutions across various industries navigate changing markets and make smart investments. We value self-starters with an entrepreneurial spirit, but still provide the support and resources to ensure your success.
SUMMARY
GSAM’s Control Oversight Group manages various control-oriented activities within the division. The team focuses on continually enhancing the control environment and applying consistent, scalable methodology across the various businesses in GSAM. Examples of control activities include, Operational Risk, internal and external audits, supervisory controls, business continuity planning, Risk and Control Self-Assessment (RCSA), and Sarbanes-Oxley (SOX). The Control Oversight Group partners with all of our Portfolio Management teams, Strategic Client Services, Sales, Internal Audit, Compliance and other Federation areas, as well as key business partners including external auditors, key vendors, and financial intermediaries.
The junior Vice President position requires participation in facilitating initiatives related to these control-oriented activities to ensure a strong control environment and compliance with applicable laws and regulations. Previous experience in a control-oriented role and knowledge of financial products including mutual funds and alternative investments is preferred. Other critical qualifications include, attention to detail, desire to continually learn, and ability to manage multiple priorities.
RESPONSIBILITIES AND QUALIFICATIONS
Primary Team Responsibilities
1. Help to identify and mitigate key operational, financial, regulatory, and reputational risks.
2. Collaborate with External and Internal Audit in the evaluation of the reliability of internal controls and risk areas of GSAM.
3. Assist in the coordination of Operational Risk incident reviews, Risk and Control Self-Assessment (RCSA), Sarbanes-Oxley, GSAM’s Global SOC 1 Reports, and Data Risk Management program.
4. Liaise with the COOs, Legal, and Compliance regarding policies, procedures and regulatory compliance driven initiatives (Recovery and Resolution Plan).
5. Oversee and maintain service level agreements between GSAM affiliates as part of the Interaffiliate Service Provision Project
6. Participate in the preparation and delivery of Senior Management presentations on controls and risks (Risk Convergence)
7. Help develop and manage supervisory controls with the Portfolio Management desks.
8. Aid in audit issue resolution to ensure strong internal controls.
9. Develop management reporting of controls, exceptions and issues as part of Quarterly Senior Stakeholder meetings.
10. Participate in the ongoing maintenance of the division’s Business Continuity Plan including support / incident management.
11. Partner with Compliance and Technology on the maintenance and development of sound Information Barriers and Data Security policies for IMD and its underlying business units; Support Firm in its Privilege Management Initiatives
Basic Qualifications
• Bachelor’s degree
• 6+ years of risk, audit, compliance, legal, or asset management industry experience preferred
• Strong communication skills
• Attention to detail
• Ability to work and adapt in a fast paced and dynamic environment
• Strong organizational, business writing, interpersonal and time management skills
Preferred Qualifications
• Risk/Control experience, preferably in public accounting or internal audit in the financial services industry.
• Understanding of the trading business and / or mutual funds business
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.
© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.