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About the Role

SMBC is seeking an experienced Audit Executive Director Financial Risk and Lending Team Lead to lead audit coverage of Financial Risk Management related activities within the Internal Audit Department. The role involves overseeing complex audits, conducting risk management expertise-driven audits, and supporting the Business Function Head.

Responsibilities

• Support IAD Management team in planning, development, implementation, and maintenance of an internal audit program that addresses management of financial risks across the Americas Division.
• Manage a team of auditors to execute high quality reviews of Financial Risk (e.g. Credit, Liquidity), Enterprise Risk, and Lending related processes and controls within a prescribed timeframe.
• Direct and oversee audits as a Team Leader in accordance with the Bank's policies and procedures, with limited supervision and support by the Business Functional Head.
• Provide support, coaching, and feedback to audit team which may include internal or co-sourced internal audit professionals.
• Effectively communicate with stakeholder and audit senior management to clearly articulate audit strategy, testing results and corrective measures.
• Oversee quarterly and annual continuous monitoring / risk assessment process to identify business trends and emerging risks, and when necessary, propose updates to the audit plan to reflect them.
• Lead and assist with the delivery and execution of IAD's broader annual audit risk assessment and assurance planning activities and responsibilities.
• Assist with special projects related to business process improvements or departmental strategic initiatives.
• Lead and conduct validation of remediation for regulatory findings.
• Track and validate closure of issues raised by the department and regulators.
• Develop, promote, and maintain a collaborative and strong working relationship with AD business heads, external auditors, and regulators.
• Recommend continuous improvement practices based on new regulatory requirements.

Requirements

• Minimum of 15 years of risk/audit experience in the banking and finance industry.
• Expert knowledge of financial and non-financial risk management and banking / capital markets products.
• Expert knowledge of risk related regulatory expectations Regulation YY, Leveraged Lending (SR 13-3), Counterparty Credit Risk (SR 11-10), and Risk Management Program (CFR 23.600).
• Expert knowledge of audit techniques, risk and internal controls assessment, and workpaper standards.
• Strong strategic thinking skills including the ability to identify and assess emerging risks.
• Ability to act as trusted advisor to senior management using discretion and sound judgment in identifying, analyzing, and reporting problems.
• Excellent communication, presentation and professional skills including the ability to interact effectively at all levels within the organization.
• Ability to lead teams; strong leadership skills; able to gain respect and cooperation.

Skills

• Financial Risk Management
• Lending
• Audit
• Risk Management
• Credit Risk
• Liquidity Risk
• Enterprise Risk
• Regulatory Compliance
• Strategic Thinking
• Leadership
• Communication
• Presentation

Location

• Americas

Work Type

• Hybrid

Experience Level

• Minimum of 15 years

Education Level

• Bachelor’s Degree in Accounting, Finance, or related field. Advanced degree preferred

Benefits

• Opportunity to work from home, as well as, from an SMBC office.
• Reasonable accommodations during candidacy for applicants with disabilities.

About the Company

• SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history.
• Offers a diverse range of financial services including banking, leasing, securities, credit cards, and consumer finance.
• Has over 130 offices and 80,000 employees worldwide in nearly 40 countries.
• Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, 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.
• Offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients in the Americas.
• Connects a diverse client base to local markets and the organization’s extensive global network.

Equal Opportunity

• SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law.