Associate Auditor

SMBC; City of White Plains (NY); Hybrid; USD 140,000 - 145,000; Full time

Job summary

SMBC Group is a global financial group with a strong US footprint and a hybrid work model. The role focuses on internal audits, validation, and regulatory compliance, with international travel obligations for planning and alignment with audit leadership.

The ideal candidate holds a bachelor’s in accounting/finance and at least 3 years of banking audit experience, with data analytics and audit software proficiency. Hybrid schedule; willingness to travel internationally.

Qualifications

• Bachelor’s degree in accounting, finance, or related field plus 3 years of compliance monitoring or audit experience in banking.
• Experience with data analytics using supporting tools and audit software such as ACL, IDEA, SAP.
• Fluency in Portuguese and Spanish is required.

Responsibilities

• Conduct internal audits and issue validation per IIA standards and internal audit procedures.
• Perform audits and validation aligned with regulatory requirements and internal controls.
• Develop audit control recommendations identifying issues, root causes, and risks.
• Identify process improvement opportunities to strengthen internal controls.
• Monitor risk and control environment and capture events needing corrective actions.
• Attend compliance training and apply requirements to daily tasks.

Skills

Data analytics

Advanced Excel

Audit software

Project management

Portuguese language

Spanish language

Education

Bachelor’s degree in accounting/finance/related

Tools

ACL

IDEA

SAP

Job description

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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 MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $141,066.00and $145,300.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Role Objectives

• Conduct internal audits and issue validation in accordance with IIA Standards and internal audit procedures, completing work within prescribed timeframes to support timely review by the Audit Manager and Team Lead.
• Perform audits and issue validation aligned with regulatory requirements and internal controls, ensuring the factual accuracy of all issues before drafting and presenting them to the auditor in charge.
• Develop audit control recommendations that clearly identify issues, root causes, and associated risks, and communicate these recommendations in line with internal audit methodology while actively supporting the issue and report clearance process.
• Identify process improvement opportunities within assigned audit areas by proposing corrective actions that strengthen internal controls and remediate identified issues.
• Conduct continuous monitoring of assigned auditable entities by updating the risk and control environment and capturing events that may require corrective actions or future audit consideration.
• Attend compliance training and integrate learned requirements into day-to-day task execution.

• Hybrid remote work is permitted.
• International travel for 2 months every 24 months for internal and annual planning is required.

Qualifications and Skills

• Bachelor’s degree in accounting, finance, legal studies, or a related field plus 3 years of experience in compliance monitoring/testing or audit in the banking industry.
• Experience must include the following: data analytics using supporting tools such as advanced excel, and/or audit software proficiency such as ACL, IDEA, and SAP and project management.
• Fluency in Portuguese and Spanish is required.
• The required skills do not need to be maintained over the full time of required experience.

The role is eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

For benefit information, please see the Careers page

SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at [e-mail].