Audit Manager - Broker Dealer

Company: Regional Recreation Corporation of Wood Buffalo
Location: White Plains
Posted on: February 22, 2021

Job Description:

Sumitomo Mitsui Banking Corporation - Careers - Audit Manager - Broker Dealer in White Plains, New York - Careers at White Plains Skip Branding

• GLOBAL
• AMERICAS
• ASIA PACIFIC
• EMEA
• JAPAN
  • Home
  • Products & Services
  • About Us
  • Group Companies
  • Careers
  • Contact Us E-Moneyger--
    BACK TO TOP SMBC Group is a member of Sumitomo Mitsui Financial Group
    • SUMITOMO MITSUI FINANCIAL GROUP
    • SMFG PROFILE
    • INVESTOR RELATIONS
    • SOCIAL RESPONSIBILITY
    • NEWS PRODUCTS & SERVICES
      • Aviation Finance
      • Cash Management
      • Corporate Banking
      • Correspondent
        Banking Services
      • Derivatives
      • Financial Institutions
      • Foreign Exchange & Treasury
      • Lease Finance
      • Leveraged Finance
      • Project Finance
      • Real Estate Finance & Fund Finance
      • Syndicated Loans
      • Trade Finance GROUP COMPANIES
        • 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.
        • Sumitomo Mitsui Finance and Leasing Co., Ltd. ABOUT US
          • Our Bank
          • A Market Leader
          • Key Data
          • SMBC in the Americas
          • Our History
          • Investor Relations CAREERS
            • Bank of Opportunity
            • SMBC & You
            • Inclusion & Diversity
            • Meet Our Team
            • University Recruiting
            • Experienced Professionals
            • Join Team SMBC CONTACT US
              • New York, New York
              • Bogota, Colombia
              • Chicago, Illinois
              • Dallas, Texas
              • Houston, Texas
              • Leon, Mexico
              • Lima, Peru
              • Los Angeles, California
              • Menlo Park, California
              • Mexico City, Mexico
              • San Francisco, California
              • Santiago, Chile
              • Sao Paulo, Brazil
              • Toronto, Canada IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT - To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.
                • Copyright -- 2020 SMBC Group.
                • All Rights Reserved.
                • Terms of Use / Disclosures Sumitomo Mitsui Banking Corporation - Careers - Audit Manager - Broker Dealer in White Plains, New York - Careers at White Plains Skip to Main Content Please Enable Cookies to Continue Please enable cookies in your browser to experience all the personalized features of this site, including the ability to apply for a job. Welcome page Welcome page Returning Candidate? Log back in! Audit Manager - Broker Dealer Job Locations US-NY-White Plains Posting Date 3 weeks ago (11/4/2020 1:32 PM) Career Category Audit iCIMS ID 2020-7815 Corporate Title VP Type Fulltime-Regular Overview SMBC is seeking an experienced Audit Manager with a minimum 8 years experience--to work within the Internal Audit Department with extensive accounting & financial audit experience in the Broker Dealer & Finance industry. Responsibilities The Audit Manager will direct and supervise the design and execution of internal audit of various complexities, ensuring audit work is performed in accordance with IIA standards and IAD policies and procedures as well as participates in other audit engagements or projects.-- Direct and supervise audit from inception to completion including planning, testing, reporting, issue identification, validation and closure.
                  -- Manage audit teams to execute high quality reviews within a prescribed timeframe. Promote a collaborative and respectful environment.
                  -- Provide support, coaching, and feedback to audit team which may include internal or co-sourced internal audit professionals.
                  -- Effectively communicate with stakeholder and audit senior management to clearly articulate audit strategy, testing results and corrective measures.
                  -- Participate in quarterly and annual risk assessment process to identify business trends and changes in the business risk profile.
                  -- As needed, assist with special projects related to business process improvements or departmental strategic initiatives Qualifications -- Minimum 8-10 years internal audit experience in the Broker Dealer & Finance industry
                  -- Extensive knowledge of finance & accounting practices and applicable regulations for a Bank Holding Company / Broker Dealer.
                  -- Understanding of audit techniques, internal controls, and workpaper standards.
                  -- Bachelor's Degree in Accounting, Finance, or related field.
                  -- CIA or relevant certification required. Options Apply for this job online Apply Share Refer this job to a friend Refer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Loading... 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.
                  
                  SMBC is an EO employer - M/F/Veteran/Disability
                  

Keywords: Regional Recreation Corporation of Wood Buffalo, White Plains , Audit Manager - Broker Dealer, Executive , White Plains, New York