IT Control Assurance Associate

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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.

The anticipated salary range for this role is between $80,000.00and $. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

We are seeking an Associate for SMBC’s FSPDAD-FAD – Accounting – Finance Control Oversight (“FCO”) Group - IT Control Department. This role will support the FCO Head of IT Assurance in planning, managing, and executing IT general control (“ITGC”), IT application control (“ITAC”), automated control, data control, and interface control assessments supporting financial and regulatory reporting. The Associate will also support Service Organization Control (“SOC”) report reviews, control inventory maintenance, remediation tracking, technology change and system implementation reviews, and other internal control activities aligned with applicable requirements and frameworks, including PCAOB, AICPA, COSO 2013, and COBIT.

The position is located at 200 Hudson Street, Jersey City. It reports to the FCO Head of IT Assurance within SMBC’s FSPDAD – FAD Accounting – FCO group and is a non-supervisory role.

• Prepare the annual internal control assessments and work plans for the respective IT areas.
• Perform walkthroughs, evidence reviews, and testing of IT-related internal controls, including test of design and operating effectiveness.
• Perform testing of IT application controls, automated controls, data controls, interface controls, reconciliations, and reports used in control execution.
• Perform Service Organization Control (“SOC”) report reviews, assess relevant user control considerations, and document review results.
• Prepare quarterly internal control assessment updates and final assessment reports for financial and regulatory reporting processes.
• Support control inventory maintenance, including control mapping, validation, rationalization, and documentation updates based on process, system, or reporting changes.
• Prepare clear testing documentation, issue summaries, status updates, and materials for management, auditors, and other stakeholders.
• Track open items, remediation actions, management responses, and supporting evidence; follow up with control owners and stakeholders to support timely resolution of IT-related control deficiencies.
• Build and maintain collaborative relationships with Internal Audit, External Audit, business stakeholders, technology stakeholders, and SMBC/SMBCAH management; prepare and provide internal control-related training as needed.
• Support special projects, focused reviews,…