What are the responsibilities and job description for the Auditor - Compliance position at SMBC Group?
The anticipated salary range for this role is between $85,000.00 and $130,000.00. 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 Compliance Senior Auditor with 3 to 5 years’ compliance audit experience in the banking & finance industry to work within the Internal Audit Department (IAD).
The Senior Auditor will participate in the execution of compliance-related internal audits of various complexities and perform audit work in accordance with IIA standards and IAD policies and procedures.
Role Requirements
- Execute audit work as assigned including planning, testing, issue identification and escalation, issue writing, and report writing.
- Effectively communicate with stakeholder and audit senior management to clearly articulate audit strategy, testing results, and corrective measures.
- As needed, assist with the delivery and execution of IAD's broader audit plan and assurance responsibilities.
- 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 special projects related to business process improvements or departmental strategic initiatives.
- Track and validate closure of issues raised by the department and regulators.
- Develop, promote and maintain a collaborative and strong working relationship with AD business heads, external auditors, and regulators.
Qualifications and Skills
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. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
Salary : $85,000 - $130,000
