IT Audit Supervisor

2 weeks ago

White Plains, New York, United States SMBC Full time
Company Overview
SMBC Group is a premier global financial institution.

With its headquarters in Tokyo and a rich history spanning over 400 years, SMBC Group provides a wide array of financial services, including banking, leasing, securities, credit cards, and consumer finance.

The organization operates more than 130 offices and employs over 80,000 individuals across nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) serves as the holding entity for SMBC Group, which ranks among the three largest banking groups in Japan.

SMFG's shares are publicly traded on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group maintains a presence in various countries, including the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru.

Leveraging the capital strength of SMBC Group and its valuable relationships in Asia, the organization offers a comprehensive suite of commercial and investment banking services tailored to corporate, institutional, and municipal clients.

It effectively connects a diverse clientele to local markets and its extensive global network. The Group's operating companies in the Americas encompass 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.


Position Overview
SMBC is in search of a seasoned IT Audit Supervisor (Vice President) with 7-10 years of relevant experience to join the Internal Audit Department within the Americas Division.

The selected candidate will assess governance, processes, risks, and controls to provide reasonable assurance regarding the adequacy of the control environment within the Americas Division.

This role does not entail direct reports.

When acting as the Auditor in Charge, the individual will lead an audit team (2-4 members from both the North America and EMEA IT Audit teams) based on the audit's size and complexity.

Key Responsibilities


The individual will be responsible for planning and executing internal audits focused on technology areas within SMBC's Americas Division, with a primary emphasis on IT infrastructure to support integrated audits.

  • Evaluate and examine internal controls in critical technology risk areas to ensure compliance with internal policies and applicable regulations, including FFIEC guidance.
  • Develop audit programs and conduct audit fieldwork, which includes system documentation, evaluations, interviews, and technical analysis.
  • Recommend or assess suitable corrective actions aimed at enhancing internal controls, operational and technical policies, and procedures, as well as addressing any weaknesses identified during audits.
  • Prepare clear and concise audit work papers and reports summarizing the scope, methodology, and significant conclusions of audit procedures performed within established time frames.
  • Facilitate audit planning and closing meetings with Internal Audit and relevant Department Management.
  • Effectively communicate audit results to both audit and client management.
  • Collaborate as a team member while also working independently to achieve strong audit outcomes, maintaining professional independence and sound judgment throughout all assignments.
  • Oversee and report on key projects to Internal Audit Management.
Qualifications and Skills

Applicants should possess a minimum of 7-10 years of IT Audit experience within a banking or financial institution. A solid understanding of risks and controls in a technical environment is essential, along with the ability to document and test these controls.

A Bachelor's Degree in Management Information Systems or a related computer field is required. CISA, CIA, and/or other relevant certifications are preferred.

Key competencies include:
  • Identifying and testing key risks and controls for IT applications.
  • Knowledge of core financial services business processes, such as leasing and lending, banking, trading and settlement, and/or AML and sanctions screening.
  • Ability to audit non-technical areas, including IT governance, project management, and systems development.
  • Strong critical thinking, analytical, and organizational skills.
  • Proficiency in Microsoft Office Suite (Outlook, Excel, Word, PowerPoint).
Diversity and Inclusion Commitment


SMBC is dedicated to fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through equitable practices in recruiting, developing, and promoting diverse talent.


SMBC operates under a hybrid workforce model, allowing employees to work from home and from an SMBC office. Employees are required to reside within a reasonable commuting distance of their office location.

SMBC is 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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