GRC Manager - Associate

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 MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

** Role Description*
* SMBC is seeking an Audit & Regulatory Management (ARM) Manager who is highly interested in building his/her career as part of a dynamic team, the Audit & Regulatory Management (ARM) team, that specializes in the management of audit and regulatory requirements for the Information Security team at JRI-A.

The ARM Manager will be a hands-on manager who can independently and successfully execute the ARM process in the coordination & facilitation of audit request and issue management. The ARM Manager will assume the lead role on an audit / multiple sections of a larger audit and on issue closure throughout the year; they will be the lead point of contact and will be responsible for the co-ordination & facilitation of the audit and issue closure from start to finish (or from remediation progress tracking to closure pack prep), ensuring the process is efficient and well-coordinated.

The ARM Manager will actively manage all audit requests (including those from issue validation and continuous monitoring exercise), ensuring right artifacts are gathered and audit requests are tracked and responded to on time and be responsible for all related ARM activities associated with the audit / sections / issues for which they are managing. The ARM Manager will be responsible for the successful management of the relationship between the stakeholders throughout the process.

Please note this is NOT an auditor role. However, individuals with an auditor/assessor or similar background would be a plus.

** Role Objectives:
Expertise*
* + Lead role for a single audit or full responsibility for multiple sections across a group of audits

+ Responsible for the coordination  facilitation of the audit and issue closure from start to finish ensuring the process is efficient and well-coordinated

+ Actively manage all audit requests and evidence review and challenge ensuring right artifacts are gathered and audit requests are tracked and responded to on time

+ Responsible for the assigning and reviewing of work of junior team members and timely escalation to ensure deliverables stay on track

+ Manage the facilitation and coordination of audit request and issue management activities including but not limited to interviews documentation requests artifact requests and review logistical support for walkthroughs  meetings facilitating follow up queries with various stakeholders reviewing Issue Closure Packs and facilitating management review and approval

+ Communicate effectively and timely with auditors where necessary to affirm their understanding of the controls in place to ensure the audit testing approach is effective  their requests are appropriate and clear In turn be able to clearly explain the request to Evidence Providers

+ Control Owners outlining the risks  controls being tested assisting them where necessary to ensure the correct artifact is provided

+ Articulate to auditors  stakeholders comfortably and independently the key controls in place and identification of compensating controls be able to defend and advocate for these controls to auditors

+ Manage preliminary audit findings Engage with auditors at an early stage in preliminary findings to ensure completeness and accuracy of understanding Responsible for reviewing preliminary findings for plausibility  reasonability engaging with the Control Owners  Senior Management  Relevant Subject Matters Experts as applicable

+ Responsible for providing further information  evidence to the auditor which may result in the preliminary finding being revised or removed

+ Assist Service Providers  Control Owners in drafting formal management responses to confirmed findings for Information Security management review with the…