SMBC Group

Returning Candidate?

Sr. Auditor II

Sr. Auditor II

Job Locations 
US-NY-New York
Career Category 
Position ID 
Corporate Title 
Posting Date 

More information about this job


SMBC is seeking an experienced Internal Auditor to work within the Internal Audit Department.

In this position, the individual will evaluate current policies and processes in order to provide reasonable assurance to Management as to the adequacy of the control environment operating within the Americas Division. The candidate must be able to lead an audit team on larger, more complex reviews as well as work as a team member.

Scope of Position:

Number of direct reports: This position will not have any direct reports. However, as a VP, this person is a candidate of future management within the Department.

Number of indirect reports: When acting as the Auditor-in-Charge, the individual will be assigned an audit team (4 to 6 individuals) depending on the size and complexity of the audit.

Essential Functions of the Position:

The incumbent is responsible for performing the essential functions (the primary job duties that are fundamental to the position) below, in addition to other duties as assigned (for example, a chauffeur must be licensed and able to drive a car):

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

  • Subsidiaries located in Brazil and Canada
  • Branches located in Los Angeles and San Francisco



Key Responsibilities:
This position will require the individual to plan and perform internal audits over all Banking areas within SMBC's Americas Division:

  • Examine and evaluate internal controls in key risk areas of banking activities/practices to ensure compliance with internal policies and applicable rules, laws, and regulations; Develop audit programs and perform audit fieldwork, including system documentation, evaluations, interviews and financial analysis
  • Propose or evaluate appropriate corrective measure 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 time frames
  • Conduct audit planning and closing meetings with Internal Audit and relevant Department Management
  • Project monitoring and reporting to Internal Audit Management



Qualification Requirements:

To perform this job successfully, the employee must be able to perform each essential duty to management’s satisfaction. The requirements listed below are representative of the knowledge, skills and/or abilities required.
Preferred Previous Work Experience: 

  • Minimum 8-10 years' internal audit experience with a minimum of 5 years' internal audit experience within a large Foreign Banking Organization or US Money Center Bank with a credit risk background
  • Combined 8-10 working experience in (1) market/liquidity risk management or US financial regulations such as DFAST within a large foreign banking organization /US Money Center Bank, or Security Business at large broker dealers/investment banking, and (2) audit experience (minimum 5 years internal audit experience required)
  • Credible knowledge in Credit Risk assessments across various business line

Preferred Education/Licenses/Certifications/Registrations:

  • Bachelor's degree in Accounting, Finance or other related field
  • CPA or CIA certification required

Key Competencies/Skills: 

  • 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 audit, from planning to audit closing
  • Strong critical thinking, analytical and organizational skill
  • Strong oral and written communication skills, including ability to write clear and concise audit recommendations and reports
  • Working knowledge of Lotus Notes and Microsoft Office Suite (Excel, Word, PowerPoint)