Audit Manager - Broker Dealer
Company: Regional Recreation Corporation of Wood Buffalo
Location: White Plains
Posted on: February 22, 2021
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Job Description:
Sumitomo Mitsui Banking Corporation - Careers - Audit Manager -
Broker Dealer in White Plains, New York - Careers at White Plains
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BACK TO TOP SMBC Group is a member of Sumitomo Mitsui Financial
Group
Banking Services
-- 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
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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
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