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 $86,000.00 and $143,000.00. 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 Regulatory/Audit Response Associate with a minimum of 5 years’ experience in the banking & finance industry to work within the Capital Markets & Nikko Information Technology Department to help manage technology-specific regulatory and audit requests and efforts to address control gaps.

　　This role will work closely with IT Development and Infrastructure teams to provide responses to requests from the Regulatory Liaison team, Internal Audit Department and external auditors. The role requires the individual to manage expectations, prioritize responses, review documentation to ensure alignment with requests, and coordinate the delivery of a quality/timely response.

　　Role can be located in White Plains

　　Role Objectives

　　Effectively communicate with Technology stakeholders and audit senior management to clearly articulate audit request responses and corrective measures.

　　Facilitate control readiness and processes to ensure that key risks potentially impacting controls and audits are addressed

　　Engage with Internal Audit Department, IT Risk and Control Team to support responses to firm clients concerning audit, regulatory and compliance contents and result

　　Support internal regulatory and financial reporting control testing, identification of observations, relevant compensating controls, remediation, validation and closure of observations within agreed target dates

　　Work with internal and external stakeholders to understand and document various current-state control processes and ensure quality standards are achieved in development/maintenance of program documentation

　　Examine results of internal / external audits for potential cross-impacts on other programs

　　Track and communicate overall progress of various program, ensuring complete and timely reporting on program status to senior management stakeholders

　　Qualifications and Skills

　　5+ years of experience preferably in the Financial Industry.

　　Good knowledge of IT governance and controls is a must.

　　Experience with audits is a must, preferably as an internal or external auditor.

　　Basic technical understanding of application design and SDLC.

　　Good knowledge of project management, vendor management, and ability to identify critical paths and issues.

　　Strong skills working with MS Excel, MS Project, MS Word, MS Power Point, MS Teams, & MS SharePoint. JIRA and PowerBI experience is a plus.

　　Strong communication/presentation skills (written and oral) in cross-cultural business environment.

　　Strong work ethic with focus on meeting deadlines and objectives.

　　Must be highly energetic, detail-orientated, and extremely proactive, and be able to perform under pressure in a challenging environment.

　　Bachelor's degree.

　　Additional Requirements

　　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 [email protected].