SMBC is seeking an Associate to work within the Internal Auditing Department’s Americas function focusing on Compliance Program risk. Qualified individuals will have strong compliance testing and monitoring experience.
In this position, the Associate Compliance Auditor will perform professional internal auditing work that involves evaluating the compliance program control environment for business units operating within the Americas Division and provide feedback to Management on the adequacy of Compliance Program control designs, as well as the operating effectiveness of processes/activities. The candidate should have functional knowledge of compliance testing and monitoring in regulatory compliance programs.
· Minimum 3-5 years of audit experience in areas related to compliance programs and regulations, banking regulations, local standards, and internal policies.· Proficient understanding of Compliance Risk Management particularly around risk assessments and monitoring and testing programs. Experience with privacy and conduct risk compliance management, especially those associated with correspondent banking, corporate banking, treasury management and capital markets conducting compliance reviews. · Demonstrates experience in managing integrated internal audit and assurance delivery. · Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing. · Strong interpersonal skills for interfacing with all levels of internal and external audit and management.· Bachelor's Degree in relevant discipline (e.g., Accounting, Finance or another related field)· Certified Regulatory Compliance Manager (CRCM) certification preferred or similar American Bankers Association Compliance accreditation. CIA and/or CPA are a plus.