Audit Manager - IT Infrastructure

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 MANUBANK, 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 $146,000.00 and $185,000.00. 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 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.

Role Responsibilities :

This position will require the individual to plan and perform internal audits over technology areas within SMBC's Americas Division, primarily focusing on IT infrastructure in support of integrated audits.

Audit, or risk and control experience with common financial services applications, including leasing and lending, banking, trading and settlement, and anti-money laundering (AML) and sanctions screening

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)

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.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.

Salary : $146,000 - $185,000