Job Description

Internal Audit – FICC and Equities Audit, Analyst, Tokyo

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 can 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 can 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:

• Develop and maintain an in-depth understanding of trading, sales, risk management and regulatory requirements in the business areas, products, and activities covered by Global Banking and Markets
• Assist with execution of audits focused on financial and non-financial risk management including planning and scoping, fieldwork, and reporting within assigned timelines and in line with audit objectives
• Perform walkthroughs with stakeholders to complete control design assessments and presenting results of work performed to management
• Execute audit 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
• Prepare commercially effective audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
• Follow-up on open audit issues and their resolution
• Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure
• Liaise with colleagues globally and internal and external stakeholders
• Maintain internal client relationships and regular interaction with the business during the year to assess changes in the control environment and other matters arising in the business

Skills and Experience:

• 1-3 years of experience in a public accounting or internal audit role within the financial services industry or a related control function
• Team oriented with a strong sense of ownership and accountability
• Strong verbal and written communication skills
• Relationship building skills and ability to work effectively across a global team
• Ability to work under minimal supervision on individual tasks or on team projects
• Highly motivated with solid analytical skills, willing and able to learn new business and system processes quickly
• Prior experience in auditing business processes within FICC and Equities sales and trading, operations, and product control functions
• Japanese language required.  Other Asian language a plus

Preferred Qualifications:

• Relevant certification or industry accreditation (e.g., CFA, CIA)

ABOUT GOLDMAN SACHS

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

© The Goldman Sachs Group, Inc., 2023. All rights reserved.

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.