SMBC Group
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Audit Director- Sales and Trading
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SMBC Group 2 weeks ago Be among the first 25 applicants Join to apply for the
Audit Director- Sales and Trading
role at
SMBC Group Get AI-powered advice on this job and more exclusive features. 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 $190,000.00 and $225,000.00. 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.
Role Description
SMBC is seeking an experienced audit director with a minimum of 10-15 years’ experience in the relevant financial industry and audit experience covering sales and trading businesses with focus on electronic trading businesses and platform. This person should also need to be able to lead or execute other capital market related audit coverage, including sales, trading capital market, and operations.
The ideal candidate will be responsible for overseeing complex audits as an Auditor in Charge, ensuring work is performed in accordance with IIA standards and IAD policies and procedures, and supporting the Team Lead in the execution of their duties.
Role Responsibilities
Direct and supervise audit from inception to completion including planning, testing, issue identification, workpaper review and reporting. Lead audit teams to execute high quality reviews within a prescribed timeframe. Provide support, coaching, and feedback to audit team. Effectively communicate in both oral with stakeholder and audit senior management to clearly articulate audit strategy, testing results and audit recommendations. Assist with the delivery and execution of IAD's broader audit plan and assurance responsibilities. Participate in quarterly and annual continuous monitoring / risk assessment process to identify business trends and changes in the business risk profile. As needed, assist with special projects related to business process improvements or departmental strategic initiatives. Track and validate closure of issues raised by the department and regulators. Develop, promote, and maintain a collaborative and strong working relationship with key stakeholders.
Qualifications And Skills
Minimum of 10 years of audit experience in the in Audit, Risk and/or Control function in financial institutions. Strong knowledge of electronic and Algo trading platforms for capital market products (e.g., FX, Credit Cash, Rates and etc.) Strong understanding of risk management framework for trading products, including derivatives, structured and securitized products. Knowledge of regulatory expectations related to market activities including Dodd Frank, Volcker, and electronic trading framework. Expert knowledge of audit techniques, risk, and internal controls assessment, and workpaper standards. Strong data and analytical, problem-solving, project/program management skills. Excellent written and verbal communication skills a must. Highly resourceful with sense of detail and urgency, and ability to motivate others to deliver. Strong leadership skills; able to gain respect and cooperation. Proficient with Microsoft Word, Excel, Power Point, Visio, Power BI, Tableau Bachelor’s degree in finance, economics, accounting, or related field. Advanced degree preferred.
SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com. Seniority level
Seniority level Not Applicable Employment type
Employment type Full-time Job function
Job function Accounting/Auditing and Finance Industries Banking, Financial Services, and IT Services and IT Consulting Referrals increase your chances of interviewing at SMBC Group by 2x Get notified about new Audit Director jobs in
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Audit Director- Sales and Trading
role at
SMBC Group 2 weeks ago Be among the first 25 applicants Join to apply for the
Audit Director- Sales and Trading
role at
SMBC Group Get AI-powered advice on this job and more exclusive features. 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 $190,000.00 and $225,000.00. 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.
Role Description
SMBC is seeking an experienced audit director with a minimum of 10-15 years’ experience in the relevant financial industry and audit experience covering sales and trading businesses with focus on electronic trading businesses and platform. This person should also need to be able to lead or execute other capital market related audit coverage, including sales, trading capital market, and operations.
The ideal candidate will be responsible for overseeing complex audits as an Auditor in Charge, ensuring work is performed in accordance with IIA standards and IAD policies and procedures, and supporting the Team Lead in the execution of their duties.
Role Responsibilities
Direct and supervise audit from inception to completion including planning, testing, issue identification, workpaper review and reporting. Lead audit teams to execute high quality reviews within a prescribed timeframe. Provide support, coaching, and feedback to audit team. Effectively communicate in both oral with stakeholder and audit senior management to clearly articulate audit strategy, testing results and audit recommendations. Assist with the delivery and execution of IAD's broader audit plan and assurance responsibilities. Participate in quarterly and annual continuous monitoring / risk assessment process to identify business trends and changes in the business risk profile. As needed, assist with special projects related to business process improvements or departmental strategic initiatives. Track and validate closure of issues raised by the department and regulators. Develop, promote, and maintain a collaborative and strong working relationship with key stakeholders.
Qualifications And Skills
Minimum of 10 years of audit experience in the in Audit, Risk and/or Control function in financial institutions. Strong knowledge of electronic and Algo trading platforms for capital market products (e.g., FX, Credit Cash, Rates and etc.) Strong understanding of risk management framework for trading products, including derivatives, structured and securitized products. Knowledge of regulatory expectations related to market activities including Dodd Frank, Volcker, and electronic trading framework. Expert knowledge of audit techniques, risk, and internal controls assessment, and workpaper standards. Strong data and analytical, problem-solving, project/program management skills. Excellent written and verbal communication skills a must. Highly resourceful with sense of detail and urgency, and ability to motivate others to deliver. Strong leadership skills; able to gain respect and cooperation. Proficient with Microsoft Word, Excel, Power Point, Visio, Power BI, Tableau Bachelor’s degree in finance, economics, accounting, or related field. Advanced degree preferred.
SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com. Seniority level
Seniority level Not Applicable Employment type
Employment type Full-time Job function
Job function Accounting/Auditing and Finance Industries Banking, Financial Services, and IT Services and IT Consulting Referrals increase your chances of interviewing at SMBC Group by 2x Get notified about new Audit Director jobs in
New York, NY . New York City Metropolitan Area $225,000.00-$240,000.00 2 days ago Internal Audit Vice President - Global Financial Crimes
New York, NY $135,000.00-$203,000.00 4 days ago New York, NY $97,500.00-$170,000.00 1 week ago New York, NY $170,000.00-$215,000.00 1 week ago New York City Metropolitan Area 1 week ago Director of Internal Audit, Security and Engineering
KIPP NYC Senior Director, Accounting & Audit
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New York, NY $130,000.00-$165,000.00 3 weeks ago VP of Internal Audit - IT Infrastructure
New York City Metropolitan Area $190,000.00-$225,000.00 2 days ago Audit Team Leader - Audit Quality & Workforce Management
New York, NY $130,000.00-$160,000.00 1 day ago Parsippany, NJ $191,250.00-$272,250.00 1 week ago Madison, NJ $160,000.00-$170,000.00 1 week ago New York, NY $130,000.00-$145,000.00 2 weeks ago New York, NY $150,000.00-$175,000.00 1 week ago Internal Audit Team Lead - Enterprise Project Governance
New York, NY $130,000.00-$205,000.00 3 days ago Livingston, NJ $70,920.00-$117,990.00 4 months ago Director of Finance (FQHC experience preferred)
New York, NY $230,000.00-$300,000.00 1 week ago Director, Digital Assets Risk and Controls
New York, NY $127,000.00-$250,000.00 1 week ago Mental Health Director - Hybrid - New York
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Summit, NJ $155,000.00-$250,000.00 4 weeks ago Director of Regulatory Affairs & Compliance
New Hyde Park, NY $165,000.00-$180,000.00 2 months ago New York City Metropolitan Area 1 week ago New York, NY $100,000.00-$115,000.00 1 week ago RN Assistant Director of Patient Services
Brooklyn, NY $120,000.00-$125,000.00 1 week ago New York, NY $160,000.00-$180,000.00 2 weeks ago Health System Senior Director - Reimbursement and Policy Analysis
New York, NY $266,846.94-$315,315.00 4 days ago New York City Metropolitan Area $75,000.00-$80,000.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr