IT Infrastructure Audit Associate

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 $85,000.00 and $135,000.00. 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.

Overview

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 $85,000.00 and $130,000.00. 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

SMBC is seeking an experienced IT Infrastructure Audit professional with a minimum of 3-5 years’ experience in the banking and finance/technology industry to conduct audit coverage for the firms IT infrastructure, Americas Division..
Coverage including key IT infrastructure including operating systems, databases, virtualization, middleware, unified communications, web application infrastructure, IT Governance, Change Management, Remote Access, Incident and Problem Management, Cloud, and more.
Reporting to IT Infrastructure Team Head, the Audit professional will be responsible for (i) conducting regular IT application audits, ensuring work is performed in accordance with IIA standards and Internal Audit Department (IAD) policies and procedures, and (ii) supporting the issue validation activities, and (iii) partnering with other members and (iv) supporting the IT Infrastructure Team Head in the execution of their duties.
In addition, they will (i) support IAD Management team in helping to identify areas of coverage for planning, development, implementation, and maintenance of an internal audit program covering technology related areas across the Americas Division and (ii) conduct regular continuous monitoring activities covering IT infrastructure and technology related risks and related processes and controls within a prescribed timeframe.

Role Responsibilities

• Conduct regular audits of IT infrastructure related areas assessing adherence to firm and regulatory requirements and assessing design, operating effectiveness and sustainability of associated controls.
• Help to create audit issues and reports that clearly articulate results and conclusions for review with senior audit management and auditees.
• Challenge the ongoing coverage of IT infrastructure work and present ideas for improvement.
• Facilitate risk issue tracking to promote timely remediation.
• Perform issue assurance work for audit, regulatory, and self-identified to confirm closure or recommend additional actions.
• Work collaboratively with colleagues and auditees to identify risk concerns and agree reasonable solutions.
• Forge strong partnerships with colleagues in other IT application and control functions including legal, compliance, data security and risk management to promote front-to-back collaboration across risk assessment and findings remediation.
• Partner with audit colleagues in other business verticals and/or geographies to share best practices and drive greater consistency. Seek out opportunities to engage with stakeholders outside of formal audit periods to drive deeper relationships.
• Conduct regular Continuous Monitoring activities and auditable entity updates.

Qualifications and Skills

• Minimum of 3-5 years of IT Application/Infrastructure/Cybersecurity audit experience in the banking and/or technology industry.
• Knowledge of IT Infrastructure related risks and controls (i.e. General Controls, Platform Controls, Virtualization, Cloud, AI/Machine Learning, etc…)
• Knowledge of industry relevant standards (i.e. NIST, CRI, etc...) and related regulatory expectations (i.e. NYS DFS 500, FFIEC, etc…)
• Knowledge of audit techniques, risk and internal controls assessment, and workpaper standards.
• Strong strategic thinking skills including the ability to identify and assess technology related risks.
• Ability to act as trusted advisor to technology management using discretion and sound judgment in identifying, analyzing, and reporting problems.
• Excellent communication (both verbal and written), presentation and professional skills including the ability to interact effectively at all levels within the organization.
• Bachelor’s Degree in Information Technology, Finance, or related field. Advanced degree a plus.

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 [email protected].

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 [email protected].