SMBC Group

  • Auditor II- Analyst

    Job Locations US-NY-New York
    Posting Date 1 month ago(9/13/2018 11:50 AM)
    Career Category
    Position ID
    2018 - 0552
    Corporate Title
  • Overview

    SMBC is seeking an Internal Auditor with 2-5 years internal audit experience to work within the Internal Auditing Department. In this position, the individual will evaluate current control environment for business units operating within the Americas Division and provide feedback to Management on the adequacy of control designs, as well as operating effectiveness of processes/activities.


    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.

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

    Branches/ Subsidiaries located in Brazil, Canada, Los Angeles and San Francisco

    Representative Offices located in Houston, Chile, Colombia, Mexico and Peru





    Main components or key results of the job:

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

    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 timeframes

    Conduct audit planning and closing meetings with Internal Audit and relevant Department Management

    Project monitoring and reporting to Internal Audit Management


    Preferred Previous Work Experience:

    Minimum 2-5 years internal audit experience within a large Foreign Banking Organization or US Money Center Bank.

    Working knowledge of one or more of the following areas:

    Credit, Treasury, Foreign Exchange, Banking Operations (i.e., Funds Transfer, Loan Servicing), Capital Markets, Broker Dealer activities and Lease Finance activities.

    Working knowledge of Capital Markets & Broker Dealer activities a plus

    Preferred Education/Licenses/Certifications/Registrations:

    Bachelor's degree in Accounting, Finance or other related field;

    CPA or CIA certification a plus


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