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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 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.
The anticipated salary range for this role is between $175,000.00and $225,000.00. 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.
SMBC is seeking an experienced professional (10 years) to join our IT Application Audit Team for the Americas Division, specializing on the delivery of integrated audits, focusing on scoping and executing IT audit procedures for key business applications supporting business process audits.
The individual will evaluate IT-related governance, processes, risks and controls to provide reasonable assurance as to the adequacy of the control environment within the Americas, and entities reliant upon the Americas' services.
Audit activity includes the annual risk assessment and planning; scheduled audit execution covering both existing applications in production and new development/implementations; issue validation; continuous monitoring. The department is also expanding the use of data and analytics in various audit activities.
The role requires the candidate to plan and perform internal audits over technology areas within SMBC's Americas Division, primarily focusing on application-specific risks and controls in integrated business audits, along with some exposure to infrastructure and cybersecurity audits. The individual is responsible for the supervision of respective audit team staff and day-to-day oversight and reporting of audit activities for assigned portfolio including: (i) execution of efficient, high quality, and timely audit reviews; (ii) issue validation, continuous monitoring, and annual risk assessments for Auditable Entities (AEs); and (iii) development of respective portfolio's audit plan. Specific responsibilities include:
Proactively foster relationships with technology and business management design authority and/or implementation authority (as appropriate) to establish and maintain open and constructive dialogue. Forge strong partnerships with colleagues in other infrastructure and control functions including legal, compliance, data security and risk management to promote front-to-back collaboration across risk assessment and findings remediation. Partner with audit colleagues in other business verticals and/or geographies to share best practices and drive greater consistency. Seek out opportunities to engage with stakeholders outside of formal audit periods to drive deeper relationships.
Minimum 10 years IT Audit experience, at a bank or financial institution is required; in-depth understanding of business processes in at least three of the following: commercial banking; broker-dealer sales and trading; financial and regulatory reporting; AML and BSA; human resources and operations, is a must.
* Identifying and testing key risks and controls within applications is required, such as completeness and accuracy of input and update; interfaces; access controls and segregation of duties; application security scanning and familiarity with OWASP Top 10 guidance are required.The department is also expanding the use of data and analytics in various audit activities.
Responsibilities:
Minimum 10 years IT Audit experience, at a bank or financial institution is required; in-depth understanding of business processes in at least three of the following: commercial banking; broker-dealer sales and trading; financial and regulatory reporting; AML and BSA; human resources and operations, is a must including:
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.
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.
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. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com
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.
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. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.
Full Time
Banking
$154k-187k (estimate)
04/20/2024
06/19/2024
NANMATOU, SHANGHAI
1,000 - 3,000
2009
TATSUTA TOSHIYUKI
$200M - $500M
Banking