Internal Audit Specialist

4 weeks ago

Birmingham, Birmingham, United Kingdom College of Charleston Full time
About the Role

As a key member of our Internal Audit team, you will play a critical role in ensuring the effectiveness of our firm's governance, risk management, and controls. You will be responsible for communicating and reporting on the effectiveness of our internal control structure, including our governance processes and controls, and risk management and capital and anti-financial crime frameworks.

Key Responsibilities
  1. Communicate and report on the effectiveness of our internal control structure, including our governance processes and controls, and risk management and capital and anti-financial crime frameworks.
  2. Raise awareness of control risk and monitor the implementation of management's control measures.
  3. Assess the firm's control culture and conduct risks.
  4. Collaborate and work as a team across IA Global Markets, IA, and Goldman Sachs.
  5. Develop and maintain an in-depth understanding of Global Markets, its products, and supporting functions.
  6. Use and develop data analytics (DA)/computer-assisted audit tools and techniques to assist in execution of audits and risk assessment.
  7. Assist in every step of an audit, including documentation, across scoping, planning, fieldwork, and reporting.
  8. Performing walkthroughs with stakeholders to perform control design assessments and presenting results of work performed to management.
  9. Execute audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high-quality standards.
  10. Identify risks, assess mitigating controls, and make recommendations on improving the control environment.
  11. Prepare commercially effective audit conclusions and findings, and present to Internal Audit senior management and business stakeholders.
  12. Follow-up on open audit issues and their resolution.
  13. Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure.
Requirements
  1. Minimum 7-10 years prior experience in auditing controls.
  2. Thorough understanding of Risk Management and Governance skills, e.g., Market, Credit, Liquidity, Operational, or Model Risk Management, and financial products or Trading Surveillance or Unauthorized Trading Controls.
  3. Project management experience, including oversight and leadership of junior staff.
  4. Knowledge of financial markets rules and regulations (PRA, ECB, FCA, etc).
  5. Team-oriented with a strong sense of ownership and accountability and able to work under minimal supervision on individual tasks or on team projects.

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