Audit Director - Quality Assurance

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.
The anticipated salary range for this role is between $175,000.
00 and $225,000.
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 Description Overview SMBC internal audit is seeking an IT Quality Assurance (QA) Director for oversight of IT QA engagements and other assignments related to professional practice.
This is a key role in advising the audit department on audit framework, methodology, approach and process to achieve continuous improvement.
Role Objectives 1 Lead the QA team's efforts in various fronts to increase the depth and breadth of IT QA coverage to ultimately drive the quality of internal audit function.
2 Conducting quality assurance over audit deliverables (e.
g.
, risk assessment audit planning memo, workpaper reviews, reports) during or after audits selected for IT QA review.
3 Communicate with IAD staff about the QA results in a constructive way for future improvements.
Report QA results objectively to IAD management and Head Office Quality Assurance Group.
4 Perform IT QA review of follow up validation for various issue types, such as internal audit issue, regulatory findings and management self-identified issues.
5 Develop training materials for the department and provide training for new hires and/or existing staff.
6 Participate in preparing presentation decks to internal or external stakeholders, such as Audit Committee, Executive Management, Regulators, or Head Office.
7 Enhance the overall audit methodology, such as procedures and templates documented in its audit manual.
8 Lead or participate in various projects to enhance internal audit activities.
9 Active participation in the creation and implementation of various new frameworks within the department, such as staff skill assessment, training program, risk assessments, annual audit plan, and enhanced continuous auditing.
10 Bring in industry leading practices in IT, integrate them with the department's process through pragmatic solutions, lead or assist the department's special projects to enhance various aspects of its execution in departmental operations and audits.
Qualifications and Skills At least 15 years in IT internal audit, IT operations and risk management function or a combination with other related fields with solid understanding in IT risks, controls and corporate governance.
This requirement can be met through significant first or second line experience in consulting, banking or financial industry experience.
CISA, CISSP or other IT related professional licenses or certificates are strongly preferred.
Bachelor degree in IT related majors is required and a Master Degree is preferred.
1 Strong knowledge of IT internal auditing and internal controls practices and methods.
2 Strong knowledge of IT products and services.
3 Expert knowledge and skill of IT risk management theory and practice.
4 Experience and knowledge in working with banking regulators.
5 Ability to effectively oversee or assess the quality of audit workpapers for both fieldwork team and Senior Management.
6 Ability to provide discretion and sound judgment in evaluating and contextualizing problems identified by the audit team.
7 Strong analytical and technical skills; attention to detail.
8 Strong communication and presentation skills; ability to interact effectively with technical and non-technical managers/staff equally across the organization.
Additional Requirements D&I Commitment Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.
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.
We are an equal employment opportunity employer.
All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law.
SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law.
If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.
com.