Internal Audit - Compliance & Legal - Associate -Tokyo
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities, investment management and consumer banking services to a substantial and diversified client base that includes corporations, financial institutions, governments and consumers. Founded in 1869, the firm is headquartered in New York and maintains major offices in London, Tokyo, Hong Kong, Bengaluru and other major financial centers around the world. Internal Audit (IA) supports the Board of Directors' Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firm's internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of management's control measures.
In Internal Audit (IA), 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 are 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.
IA is comprised of the following global functional audit teams covering the various business areas of the firm: Securities, Investment Management & Banking, Compliance & Legal, Risk, Finance, Human Capital Management, Executive Office & Corporate and Workspace Solutions, Consumer and Commercial Banking and Technology. RESPONSIBILITIES AND QUALIFICATIONS General Responsibilities:
- Develop and maintain an in-depth understanding of business areas, its products, and supporting functions
- Assist in every step of an audit including scoping, planning, fieldwork and reporting
- 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 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
- Strong English and Japanese communication skills (written and verbal) a must.
- Strong project and time management skills
- Good communicator who can manage multiple stakeholders, keen to drive consensus and influence the outcomes
- Excellent team player who is enthusiastic, motivated to learn and detailed oriented
- University degree in Finance, Accounting, or with quantitative discipline, and ideally a graduate degree in a related subject
- 3 years of experience in a public accounting or internal audit role within the financial services industry or a related control function is preferred
- In-depth technical knowledge of relevant product areas including experience in central compliance functions, regulatory, legal, anti-financial crime, anti-money laundering, anti-bribery processes
- Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, CAMS, CFE)
- Prior experience with a bank, transaction banking or securities/banking regulatory agency
- Experience with Agile Auditing and Data Analytics is a plus