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Compliance Systems Auditor Manager

Company: Sumitomo Mitsui Banking Corporation
Location: White Plains
Posted on: February 14, 2020

Job Description:

OverviewSMBC is seeking an experienced IT Auditor to work within the Internal Audit Department. This auditor will focus heavily on the IT components of compliance audits such as sanctions--screening, AML transaction monitoring and KYC.In this position, the individual will work closely with the compliance audit team they evaluate the current control environment for the above stated areas 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 large complex audit reviews, as well as work as a team member.This position will not have any direct reports. However, 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.--Up to 10% domestic/international travel during the fiscal year.--Some flexibilty in location - preference for White Plains but will consider NYC candidates as well.ResponsibilitiesThis position will require the individual to plan and perform internal audits over the technology platforms that support key compliance functions within SMBC's Americas Division. This individual is expected to work closely with a business audit team, identify the key functions--that support business processes and controls and develop audit programs to evaluate the effectiveness of those controls.

  • Examine and evaluate internal controls in key risk areas to ensure compliance with internal policies and applicable rules, laws, and regulations; Develop audit programs and perform audit fieldwork
  • Propose or evaluate appropriate corrective measures designed to strengthen internal controls, operational policies and procedures, and other weaknesses identified during audits
  • Advise other audit teams on focus areas and key risks within area of expertise
  • 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;
  • Oversee and report on key projects to Internal Audit managementQualifications
    • Minimum 7 years of IT Audit experience in Financial Services, some of which focuses primarily on compliance and/or financial crimes areas of financial instituations
    • Strong understanding of IT systems and processes supporting compliance requirements of financial institutions.
    • Bachelor's Degree in Accounting, Finance, Computer Science, MIS or other related field
    • CISA, CIA or other applicable certification a plus and will be required within a reasonable time after joining.
    • Ability to understand, interpret, and apply general and specific administrative and departmental policies and procedures, as well as applicable federal & state laws and regulations
    • 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)------#LI-LK1

Keywords: Sumitomo Mitsui Banking Corporation, White Plains , Compliance Systems Auditor Manager, Executive , White Plains, New York

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