Audit Director

2 weeks ago

New York, United States Sumitomo Mitsui Banking Corporation Full time

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $175,000.00 and $225,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

**Role Description**:
The individual will evaluate IT-related governance, processes, risks and controls to provide reasonable assurance as to the adequacy of the control environment within the Americas, and entities reliant upon the Americas' services.

**Role Objectives: Delivery**:

- Defines, plans and schedules IT audit activities in support of business audits, to include internal controls in key technology risk areas to ensure compliance with internal policies, laws and regulations, and regulatory expectations (FFIEC and Supervision and Regulation letters)
- Manages timely and quality execution of audits for assigned portfolio.
- Manages timely and quality performance of (1) audit issue validation; (2) continuous monitoring activities; (3) annual risk assessment and audit planning.
- Provides supervision and on-the-job training to staff, to ensure audit execution is in line with IIA and other relevant standards, including completion of clear and concise audit work-papers and audit reports summarizing scope, methodology, and significant conclusions of audit procedures performed within prescribed time frames.
- Coordinates audit activities with business audit management.
- Establishes and builds relationships with key IT and business stakeholders.
- Performs staff development and people management activities.
- Possesses strong project management skills with an ability to oversee multiple audits, issue validation, annual risk assessment, audit planning, and continuous monitoring and deliver within required deadlines - Can execute a variety of tasks and properly prioritize deliverables.
- Has excellent written and verbal communication skills to support and review the audit execution team's delivery of clear and concise workpapers and support effective interaction with IAD NY Management and audit clients across the organization.
- Exhibits initiative and critical thinking to effectively challenge decisions made by the team.
- Exhibits an appropriate level of professional skepticism and encourages their team to do the same.
- Demonstrates and supports an attitude of continuous learning in applicable risk/functional areas (for themselves and their team, respectively).
- Shows initiative to identify and communicate any opportunities for improvement in execution of audits or IAD NY's methodology.

**Role Objectives: Interpersonal**:
Proactively foster relationships with technology and business management design authority and/or implementation authority (as appropriate) to establish and maintain open and constructive dialogue. Forge strong partnerships with colleagues in other infrastructure and control functions including legal, compliance, data security and risk management to promote front-to-back collaboration across risk assessment and findings remediation. Partner with audit colleagues in other business verticals and/or geographies to share best practices and drive greater consistency. Seek out opportunities to engage with stakeholders outside of formal audit periods to drive deeper relationships.

**Role Objectives: Expertise**:
Minimum 10 years IT Audit experience, at a bank or financial institution is required; in-depth unders

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