Internal Audit, Regional Audit, Analyst, Hong Kong

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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.

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INTERNAL AUDIT

As the third line of defense, 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. In doing so, IA:

• 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

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RESPONSIBILITIES AND QUALIFICATIONS

General Responsibilities:

• Develop and maintain an in-depth understanding of business areas, its products, and supporting functions
• Participate in walkthroughs with management and execute testing 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
• Assist in every step of an audit including scoping, planning, fieldwork and reporting
• Work with experienced team members to 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

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Specific Skills and Experience:

• Team-oriented with a strong sense of ownership and accountability
• Strong leadership, interpersonal, relationship and project management skills
• Strong English communication skills (written and verbal) a must. Additional Asian language (Japanese or Korean or Mandarin) will be an asset.
• Solid analytical skills
• Understanding of financial concepts and/or key securities and/ or banking regulations in Hong Kong/ other APAC region
• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
• At least 2 years of experience in a public accounting, consulting, internal audit and/or regulatory agency examiner role within the financial services industry or a related control function
• University degree in Finance, Accounting, or with quantitative discipline, and ideally a graduate degree in a related subject
• Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, CFE)

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