SMBC Group
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Sales and Trading Audit Director
role at
SMBC Group
SMBC Group is a top-tier global financial group headquartered in Tokyo with more than 130 offices and 80,000 employees worldwide in nearly 40 countries. It offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance.
The anticipated salary range for this role is between $190,000.00 and $225,000.00, with potential for an annual discretionary incentive award and a competitive benefits portfolio.
Description SMBC is seeking an experienced audit director with a minimum of 10 years’ experience in the financial industry to lead audit coverage of front‑office and associated support functions including sales, trading, risk management and operations within the Internal Audit Department. 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.
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 with stakeholders and audit senior management to clearly articulate audit strategy, testing results, and corrective measures.
Assist with the delivery and execution of IAD's broader audit plan and assurance responsibilities.
Participate in quarterly and annual continuous monitoring/risk assessment processes to identify business trends and changes in the business risk profile.
Assist with special projects related to business process improvements or departmental strategic initiatives as needed.
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 audit, risk, business control, compliance, or finance within the financial industry.
Strong knowledge of securitized products (ECM, DCM, ABS, and CLO).
Good understanding of capital markets products (interest rate swaps, fixed income securities).
Strong understanding of electronic trading.
Experience auditing capital markets and securities front‑office teams.
Strong understanding of risk management framework for trading activities and securitized products.
Knowledge of regulatory expectations related to market activities including Dodd‑Frank, Volcker, and trading supervision.
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.
Highly resourceful with attention to detail and urgency, and ability to motivate others to deliver.
Strong leadership skills; able to gain respect and cooperation.
Proficient with Microsoft Word, Excel, PowerPoint, Visio, Power BI, and Tableau.
Bachelor’s degree in finance, economics, accounting, or related field; advanced degree preferred.
Work Model SMBC requires employees to live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during the interview process. Hybrid work may not be permitted for certain roles, including FINRA‑registered positions that require in‑office attendance for the entire workweek.
Accommodations SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need an accommodation during the application process, please let us know at accommodations@smbcgroup.com.
Seniority level Not Applicable
Employment type Full‑time
Job function Accounting/Auditing and Finance
Industries Banking, Financial Services, and IT Services and IT Consulting
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Sales and Trading Audit Director
role at
SMBC Group
SMBC Group is a top-tier global financial group headquartered in Tokyo with more than 130 offices and 80,000 employees worldwide in nearly 40 countries. It offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance.
The anticipated salary range for this role is between $190,000.00 and $225,000.00, with potential for an annual discretionary incentive award and a competitive benefits portfolio.
Description SMBC is seeking an experienced audit director with a minimum of 10 years’ experience in the financial industry to lead audit coverage of front‑office and associated support functions including sales, trading, risk management and operations within the Internal Audit Department. 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.
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 with stakeholders and audit senior management to clearly articulate audit strategy, testing results, and corrective measures.
Assist with the delivery and execution of IAD's broader audit plan and assurance responsibilities.
Participate in quarterly and annual continuous monitoring/risk assessment processes to identify business trends and changes in the business risk profile.
Assist with special projects related to business process improvements or departmental strategic initiatives as needed.
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 audit, risk, business control, compliance, or finance within the financial industry.
Strong knowledge of securitized products (ECM, DCM, ABS, and CLO).
Good understanding of capital markets products (interest rate swaps, fixed income securities).
Strong understanding of electronic trading.
Experience auditing capital markets and securities front‑office teams.
Strong understanding of risk management framework for trading activities and securitized products.
Knowledge of regulatory expectations related to market activities including Dodd‑Frank, Volcker, and trading supervision.
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.
Highly resourceful with attention to detail and urgency, and ability to motivate others to deliver.
Strong leadership skills; able to gain respect and cooperation.
Proficient with Microsoft Word, Excel, PowerPoint, Visio, Power BI, and Tableau.
Bachelor’s degree in finance, economics, accounting, or related field; advanced degree preferred.
Work Model SMBC requires employees to live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during the interview process. Hybrid work may not be permitted for certain roles, including FINRA‑registered positions that require in‑office attendance for the entire workweek.
Accommodations SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need an accommodation during the application process, please let us know at accommodations@smbcgroup.com.
Seniority level Not Applicable
Employment type Full‑time
Job function Accounting/Auditing and Finance
Industries Banking, Financial Services, and IT Services and IT Consulting
#J-18808-Ljbffr