SMBC – COMPLIANCE SYSTEMS AUDIT SPECIALIST

SMBC is seeking an experienced IT Auditor to work within the Internal Audit Department. This auditor will focus heavily on the IT components of compliance audits such as sanctions screening, AML transaction monitoring and KYC.

OVERVIEW

In this position, the individual will work closely with the compliance audit team as they evaluate the current control environment for the above stated areas within the Americas Division and provide feedback to Management on the adequacy of control designs, as well as the operating effectiveness of processes/activities.

This position will not have any direct reports.  However, this position may be assigned auditor-in-charge responsibilities at which time a team of 2-4 auditors will be managed under their lead.

Up to 10% domestic/international travel during the fiscal year.

RESPONSIBILITIES

This position will require the individual to plan and perform internal audits over the technology platforms that support key compliance functions within SMBC's Americas Division. This individual is expected to work closely with a business audit team, identify the key functions that support business processes and controls, and develop audit programs to evaluate the effectiveness of those controls.

Key responsibilities are as follows:

• Examine and evaluate internal controls in key risk areas to ensure compliance with internal policies and applicable rules, laws, and regulations; Develop audit programs and perform audit fieldwork
• Propose or evaluate appropriate corrective measures designed to strengthen internal controls, operational policies and procedures, and other weaknesses identified during audits
• Prepare clear and concise audit work papers and audit reports summarizing scope, methodology, and significant conclusions of audit procedures performed within prescribed timeframes
• Conduct audit scoping, planning and closing meetings with Internal Audit and relevant Department Management
• Oversee and report on key projects to Internal Audit management

QUALIFICATIONS

• 5-7 years of IT Audit experience in Financial Services, some of which focuses primarily on compliance and/or financial crimes areas of financial institutions
• Strong understanding of IT systems and processes supporting compliance requirements of financial institutions
• Preferred Education/Licenses/Certifications/Registrations:
  • Bachelor's Degree in Accounting, Finance, Computer Science, MIS or other related field
  • CISA, CIA or other applicable certification a plus and will be required within a reasonable time after joining
• Ability to understand, interpret, and apply general and specific administrative and departmental policies and procedures, as well as applicable federal & state laws and regulations
• Overall understanding of audit techniques, internal controls and audit principles.
• Ability to manage and execute audits, from planning to audit closing
• Strong critical thinking, analytical and organizational skills
• Strong oral and written communication skills, including ability to write clear and concise audit recommendations and reports
• Working knowledge of Microsoft Office Suite (Outlook, Excel, Word, Power-Point)