SMBC is seeking an experienced Internal Auditor, proficient in Corporate Compliance to fill a Vice President, Audit Manager position within the Internal Auditing Department. In this position, the individual will supervise assigned audit staff members as they evaluate the corporate compliance control environment for business units operating within the Americas Division and provide feedback to Management on the adequacy of control designs, as well as the operating effectiveness of processes/activities. The candidate must be able to lead an audit team on larger, more complex audit reviews, as well as work as a team member.This position will not have any direct reports. However, as a VP Audit Manager, this person is a future candidate for a Senior Audit Manager position within the Department. When acting as the Auditor-in-Charge, the individual will be assigned an audit team (2 to 6 individuals) depending on the size and complexity of the audit.
This position will require the individual to plan and perform internal audits over all Banking areas within SMBC's Americas Division, with emphasis on Corporate Compliance.
Examine and evaluate internal controls in key risk areas of banking activities/practices to ensure compliance with internal policies and applicable rules, laws, and regulations; Develop audit programs and perform audit fieldwork, including system documentation, evaluations, interviews and financial analysis;
Propose or evaluate appropriate corrective measure designed to strengthen internal controls, operational 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 scoping, planning and closing meetings with Internal Audit and relevant Department Management; and
Project reporting to Internal Audit Management
To perform this job successfully, the employee must be able to perform each essential duty to management’s satisfaction. The requirements listed below are representative of the knowledge, skills and/or abilities required.
Minimum 8+ years internal audit experience with a minimum of 7 years internal audit experience within a large Foreign Banking Organization or US Money Center Bank.
Strong working knowledge of Corporate Compliance is required.
Experience in one or more of the following areas is also a plus:Regulatory Reporting, Model Risk Management, Leasing and/or AML
Preferred Education/Licenses/Certifications/Registrations: Bachelor's Degree in Accounting, Finance or other related field
CPA or CIA certification required.