Associate Auditor

Sumitomo Mitsui Banking Corporation; White Plains (AL); Hybrid; USD 141,000 - 145,000; Full time

Benefits offered by this job

Hybrid work model

Annual discretionary incentive award

Benefits package

Job summary

SMBC Group seeks a Compliance Monitoring/Audit professional for our US operations. You will conduct internal audits, validate controls, and ensure regulatory alignment across banking processes, reporting to Audit Manager and Team Lead.

The role requires data analytics with advanced Excel and audit software (ACL/IDEA/SAP), and fluent Portuguese and Spanish. International travel is expected; hybrid remote work is permitted.

Qualifications

• Bachelor's degree in accounting, finance, legal studies, or related field.
• 3 years of experience in compliance monitoring/testing or audit in the banking industry.
• Experience with data analytics using advanced Excel and audit software (ACL, IDEA, SAP) and project management.

Responsibilities

• Conduct internal audits and issue validation in accordance with IIA Standards and internal audit procedures.
• Perform audits and issue validation aligned with regulatory requirements and internal controls.
• Develop audit control recommendations identifying issues, root causes, and risks; communicate in line with internal audit methodology.
• Identify process improvement opportunities within assigned audit areas; propose corrective actions.
• Conduct continuous monitoring of assigned auditable entities and update risk and control environment.
• Attend compliance training and integrate requirements into day-to-day tasks.

Skills

Data analytics

Audit

Project management

Portuguese

Spanish

Education

Bachelor's degree in accounting, finance, legal studies, or related field

Tools

ACL

IDEA

SAP

Job description

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 $141,066.00 and $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].