Audit Manager

3 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 $137,000.00 and $181,000.00. 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**:
We are looking for an experienced audit manager who will lead model and model risk audits from the 3LOD and partner with business stakeholders to improve company's governance, risk management and internal controls in model risk management in SMBC Americas Division.

**Role Objectives: Delivery**:

- As Auditor-in-Charge (AIC) direct and supervise audits from inception to completion including planning, testing, issue identification, workpaper review and reporting.
- Track and validate closure of issues raised by the department and regulators.
- Participate in quarterly and annual continuous monitoring / risk assessment process to identify business trends and changes in the business risk profile.
- As needed, assist with the delivery and execution of IAD's broader audit plan and assurance responsibilities.
- As needed, assist with special projects related to business process improvements or departmental strategic initiatives.

**Role Objectives: Interpersonal**:

- Effectively communicate with stakeholder and audit senior management to clearly articulate audit strategy, testing results and corrective measures.
- Develop, promote and maintain a collaborative and strong working relationship with AD business heads, external auditors, and regulators.
- Provide support, coaching, and feedback to audit team which may include other junior team members or co-sourced internal audit professionals.

**Role Objectives: Expertise**:

- Experience and deep knowledge of market risk / capital markets products
- Excellent communication, presentation and professional skills including the ability to interact effectively at all levels within the organization.
- Understanding of applicable regulatory standards (including Model Risk (SR 11-7)).

**Qualifications and Skills**:

- Minimum of 5-7 years experience in the banking and finance industry or consulting companies, preferably in the 2nd and/or 3rd line of defense roles for model risk
- At Least 2 years of hands-on audit experience and familiarity with audit techniques, internal controls, and workpaper standards.
- Advanced Degree (Master’s or Ph.D.) in Finance, STEM or other quantitative field.

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