Governance and Audit Response Associate

Found in: Talent US C2 - 1 week ago

White Plains, United States SMBC Group Full time

The anticipated salary range for this role is between $86,000.00 and $143,000.00. 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

SMBC is seeking an experienced Regulatory/Audit Response Associate with a minimum of 5 years’ experience in the banking & finance industry to work within the Capital Markets & Nikko Information Technology Department to help manage technology-specific regulatory and audit requests and efforts to address control gaps.

This role will work closely with IT Development and Infrastructure teams to provide responses to requests from the Regulatory Liaison team, Internal Audit Department and external auditors. The role requires the individual to manage expectations, prioritize responses, review documentation to ensure alignment with requests, and coordinate the delivery of a quality/timely response.

Role can be located in White Plains

Role Objectives

Effectively communicate with Technology stakeholders and audit senior management to clearly articulate audit request responses and corrective measures. Facilitate control readiness and processes to ensure that key risks potentially impacting controls and audits are addressed Engage with Internal Audit Department, IT Risk and Control Team to support responses to firm clients concerning audit, regulatory and compliance contents and result Support internal regulatory and financial reporting control testing, identification of observations, relevant compensating controls, remediation, validation and closure of observations within agreed target dates Work with internal and external stakeholders to understand and document various current-state control processes and ensure quality standards are achieved in development/maintenance of program documentation Examine results of internal / external audits for potential cross-impacts on other programs Track and communicate overall progress of various program, ensuring complete and timely reporting on program status to senior management stakeholders

Qualifications and Skills

5+ years of experience preferably in the Financial Industry. Good knowledge of IT governance and controls is a must. Experience with audits is a must, preferably as an internal or external auditor. Basic technical understanding of application design and SDLC. Good knowledge of project management, vendor management, and ability to identify critical paths and issues. Strong skills working with MS Excel, MS Project, MS Word, MS Power Point, MS Teams, & MS SharePoint. JIRA and PowerBI experience is a plus. Strong communication/presentation skills (written and oral) in cross-cultural business environment. Strong work ethic with focus on meeting deadlines and objectives. Must be highly energetic, detail-orientated, and extremely proactive, and be able to perform under pressure in a challenging environment. Bachelor's degree.

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