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SMBC Audit Manager, Capital Markets and Treasury in White Plains, New York


SMBC is seeking an experienced Audit Manager to work within the Internal Audit Department. The role will require a strong knowledge of Capital Markets and Treasury.

The Audit Manager must be able to lead a team on complex audit reviews in line with IIA Standards, as well as work as a team member. The role requires the Audit Manager to develop testing programs and execute audits based on current trading practices in line with industry peers and regulatory requirements. The position may also include audit support of business lines not related to Capital Markets or Treasury.

Scope of Positions:

The position will not have any direct reports.

Up to 10% domestic and 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


The key functions of the Audit Manager role are:

  • Examine and evaluate internal controls of key risk areas. Ability to lead and take ownership of all aspects of an internal audit including planning, testing, reporting, and issue validation.

  • Manage audit teams to execute high quality reviews within a prescribed timeframe.

  • Effectively communicate with stakeholder and audit senior management to clearly articulate audit issues and corrective measures.

  • Promote a collaborative, respectful environment.

  • Perform ongoing and periodic monitoring of business lines to identify trends and emerging risks.

  • Maintain knowledge of current Capital Markets and Treasury business practices through participation in seminars and industry groups. Ability to self-direct time to review and understand regulatory changes.


Experience/Knowledge Requirements

Qualification Requirements:

A successful Audit Manager must be able to perform each key job function to the satisfaction of Internal Audit management and Professional Practices standards. The below requirements are representative of the knowledge, skills, and abilities.

  • Minimum 7-8 years internal audit experience with a focus on Trading and Treasury functions.

  • Strong knowledge of derivatives, FX, banking products, market and liquidity risk measures, and applicable regulations.

  • Experience in operations and model risk is a plus.

  • Understanding of audit techniques, internal controls, and workpaper standards.

  • Bachelor’s Degree in Finance or related field.

  • CIA or relevant certification required.

Required Skills/Abilities

Key Competencies:

  • Ability to maintain high audit quality within set timelines.

  • Strong organizational and project management skills.

  • Excellent verbal and writing skills with a focus on clear, concise communication intended for senior management.

  • Self-motivated and able to adapt to unforeseen changes to a project or role.

  • Ability to work both as a member of a team or as an individual contributor based on the needs of a project.

Job Locations US-NY-White Plains

Posting Date 4 days ago (10/16/2020 8:38 AM)

Career Category Audit

iCIMS ID 2020-8724

Corporate Title VP

Type Fulltime-Regular

SMBC is an EO employer – M/F/Veteran/Disability