Audit Associate

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 $82,000.00 and $127,000.00. 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**:
Conduct regular 3LOD audits of a business unit or functional area to evaluate the effectiveness and sustainability of internal controls relating to business risks. Create audit reports for review with senior audit management and business leadership. Facilitate audit issue tracking to ensure timely remediation.

**Role Objectives: Delivery**:
Support regular 3LOD audits of a covered business unit or functional area in accordance with audit methodology, to evaluate the completeness, sustainability and effectiveness of internal controls relating to business risks. Draft high quality audit reports for review with senior audit management in preparation for publication to the business. Facilitate audit issue tracking to promote timely remediation and assist business stakeholders in closure of audit findings. Advise business unit or functional area on periodic self-assessments to examine the likelihood and impact of incidents. Participate in ad hoc projects and/or special investigations on an as-needed basis.

**Role Objectives: Interpersonal**:
Identify and develop relationships with key stakeholders in covered business units to establish and maintain open and constructive dialogue. Foster trust with stakeholders by providing timely and value-added guidance on audit-related queries. Seek out additional opportunities to improve visibility with stakeholders, such as department meetings, town halls and social gatherings. Build and grow a network of colleagues in other infrastructure and control functions including compliance, HR, risk management and operations 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 experiences and gain exposure to adjacent areas.

**Role Objectives: Expertise**:
Establish familiarity with audit framework and internal policies applicable to business unit. Review historical audits to establish better context for current and future assessments. Seek out formal and informal training opportunities to develop understanding of covered business unit, including organizational structure; key processes, products and activities; relevant risk types; applicable regulations; and client universe. Consult with audit colleagues to share learning and broaden awareness of priorities and challenges in adjacent business verticals and/or jurisdictions. Complete requirements to become a certified internal auditor.

**Qualifications and Skills**:
Recommended years of experience: 3

**Additional Requirements**:

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