Audit Manager

3 weeks ago

White Plains, New York, United States SMBC Full time
Job Description

SMBC Group is a top-tier global financial group with a 400-year history. Headquartered in Tokyo, the Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and 80,000 employees worldwide in nearly 40 countries, SMBC Group is one of the three largest banking groups in Japan.

The Group has a significant presence in the Americas, with 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.

The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp., 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.

Role Description

SMBC is seeking an experienced Audit Manager - IT Infrastructure (Vice President) with 7-10 years' experience to work within the Internal Audit Department, Americas Division. The individual will evaluate governance, processes, risks, and controls to provide reasonable assurance as to the adequacy of the control environment within the Americas Division.

This position will not have any direct reports. When acting as the Auditor in Charge, the individual will be assigned an audit team (2-4 individuals from both the North America and EMEA IT Audit teams) depending on the size and complexity of the audit.

Responsibilities
  • Plan and perform internal audits over technology areas within SMBC's Americas Division, primarily focusing on IT infrastructure in support of integrated audits.
  • Examine and evaluate internal controls in key technology risk areas to ensure compliance with internal policies and applicable rules, laws, and regulations, including FFIEC guidance.
  • Develop audit programs and perform audit fieldwork, including system documentation, evaluations, interviews, and technical analysis.
  • Propose or evaluate appropriate corrective measures designed to strengthen internal controls, operational, and technical policies and procedures, and other weaknesses identified during audits.
  • Prepare clear and concise audit work-papers and audit reports summarizing scope, methodology, and significant conclusions of audit procedures performed within prescribed time frames.
  • Conduct audit planning and closing meetings with Internal Audit and relevant Department Management.
  • Clearly communicate the results of the audits to both audit and client management.
  • Work as a team member, as well as independently, to produce strong audit results and maintain professional independence and sound judgment in executing all audit and other assignments.
  • Oversee and report on key projects to Internal Audit Management.
Qualifications and Skills
  • Minimum 7-10 years IT Audit experience, with a bank or financial institution is required.
  • A good understanding of risks and controls within a technical environment is required, as well as the ability to document and test these controls.
  • Bachelor's Degree in MIS or some other computer-related field. CISA, CIA, and/or other relevant certifications is preferred.
  • Identifying and testing key risks and controls for IT applications, for areas such as input validation/edit checks; completeness and accuracy of reporting; batch processing; interface handling; access and segregation of duties; change management; systems documentation, incident handling, and application functionality.
  • Knowledge of core financial services business processes, e.g., leasing and lending, banking, trading and settlement, and/or AML and sanctions screening is preferred.
  • Audit experience covering cloud-based applications is a plus, but not required.
  • Ability to audit non-technical areas including IT governance, project management, and systems development. In-depth knowledge of a specific financial services application or infrastructure is a plus, but not necessarily required.
  • Understanding of concepts for data management, models, records management, and privacy, and audit experience, is a plus, but not required.
  • Ability to multitask and work in a team environment is crucial.
  • Ability to understand, interpret, and apply general and specific administrative and departmental policies and procedures, as well as applicable federal & state laws and regulations, including FFIEC guidance.
  • Overall understanding of audit techniques, internal controls, and audit principles. Ability to manage and execute audits, from planning to audit closing.
  • Strong critical thinking, analytical, and organizational skills.
  • Strong oral and written communication skills, including ability to write clear and concise audit recommendations and reports.
  • Working knowledge of Microsoft Office Suite (Outlook, Excel, Word, PowerPoint).
Additional Requirements
  • Diversity and Inclusion Commitment: Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.
  • Hybrid Work Schedule: SMBC's employees participate in a hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office.
  • Equal Employment Opportunity: We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status, or any other characteristic protected by law.

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