IT Infrastructure Audit Associate

Overview

SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history and around 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, and its 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 corporate, institutional, and municipal clients, connecting a diverse client base to local markets and its 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 $85,000.00 and $. The specific salary offered will be based on the applicant’s 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.

SMBC is seeking an experienced IT Infrastructure Audit professional with a minimum of 3–5 years’ experience in the banking and finance/technology industry to conduct audit coverage for the firm’s IT infrastructure, Americas Division.

Coverage includes key IT infrastructure such as operating systems, databases, virtualization, middleware, unified communications, web application infrastructure, IT Governance, Change Management, Remote Access, Incident and Problem Management, Cloud, and more.

Reporting to the IT Infrastructure Team Head, the Audit professional will be responsible for conducting regular IT application audits, ensuring work is performed in accordance with IIA standards and Internal Audit Department policies, supporting issue validation activities, partnering with other members, and supporting the IT Infrastructure Team Head in executing their duties.

In addition, they will support IAD Management in identifying areas of coverage for planning, development, implementation, and maintenance of an internal audit program covering technology-related areas across the Americas Division, and conduct regular continuous monitoring activities covering IT infrastructure and technology-related risks and related processes and controls within a prescribed timeframe.

• Conduct regular audits of IT infrastructure related areas assessing adherence to firm and regulatory requirements and the design, operating effectiveness, and sustainability of associated controls.
• Help to create audit issues and reports that clearly articulate results and conclusions for review with senior audit management and auditees.
• Challenge the ongoing coverage of IT infrastructure work and present ideas for improvement.
• Facilitate risk issue tracking to promote timely remediation.
• Perform issue assurance work for audit, regulatory, and self‑identified items to confirm closure or recommend additional actions.
• Work collaboratively with colleagues and auditees to identify risk concerns and agree on reasonable solutions.
• Forge strong partnerships with colleagues in other IT application and control functions—including legal, compliance, data security, and risk management—to promote front‑to‑back collaboration across risk assessment and findings remediation.
• Partner with audit colleagues in other business verticals and/or geographies to share best practices and drive greater consistency; seek out opportunities to engage with stakeholders outside of formal audit periods to drive deeper relationships.
• Conduct regular Continuous Monitoring activities and auditable entity…