- Effectively communicate with Technology stakeholders and audit senior management to clearly articulate audit request responses and corrective measures.
- Facilitate control readiness and processes to ensure that key risks potentially impacting controls and audits are addressed
- Engage with Internal Audit Department, IT Risk and Control Team to support responses to firm clients concerning audit, regulatory and compliance contents and result
- Support internal regulatory and financial reporting control testing, identification of observations, relevant compensating controls, remediation, validation and closure of observations within agreed target dates
- Work with internal and external stakeholders to understand and document various current-state control processes and ensure quality standards are achieved in development/maintenance of program documentation
- Examine results of internal / external audits for potential cross-impacts on other programs
- Track and communicate overall progress of various program, ensuring complete and timely reporting on program status to senior management stakeholders
- 5+ years of experience preferably in the Financial Industry.
- Good knowledge of IT governance and controls is a must.
- Experience with audits is a must, preferably as an internal or external auditor.
- Basic technical understanding of application design and SDLC.
- Good knowledge of project management, vendor management, and ability to identify critical paths and issues.
- Strong skills working with MS Excel, MS Project, MS Word, MS Power Point, MS Teams, & MS SharePoint.JIRA and PowerBI experience is a plus.
- Strong communication/presentation skills (written and oral) in cross-cultural business environment.
- Strong work ethic with focus on meeting deadlines and objectives.
- Must be highly energetic, detail-orientated, and extremely proactive, and be able to perform under pressure in a challenging environment.
- Bachelor's degree.
-
Warehouse Associate with Driving Responsibilities
19 hours ago
The Millennium Group Brooklyn, United StatesNow is a great time to join our growing company The Millennium Group (TMG) is an award-winning business process outsourcing firm focused on print, mail, document scanning, reception, and related office support services for Fortune 500 companies, professional service firms, and in ...
-
Governance and Audit Response Associate
1 week ago
SMBC Group White Plains, United States Full timeThe anticipated salary range for this role is between $86,000.00 and $143, 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 rol ...
-
Trial Attorney
13 hours ago
State Farm White Plains, United States Full timeOverview · We are not just offering a job but a meaningful career Come join our passionate team · As a Fortune 50 company, we hire the best employees to serve our customers, making us a leader in the insurance and financial services industry. State Farm embraces diversity and inc ...
-
Hospitality Associate
1 week ago
SPS Global White Plains, United States**Job Title**:Hospitality Associate** · **Reports To**: The **Hospitality Associate **will report to the Client Services Supervisor, Client Services Manager, or equivalent leadership. · **Work Schedule: Monday-Friday, 8am-5pm** · **Job Overview**: · This **Hospitality Associate** ...
-
Labor and Employment Associate
6 days ago
Abrams Fensterman White Plains, United States**Labor and Employment Associate** · Our legal team is committed to providing each client with quality counsel, innovative solutions, and personalized service. Founded in 2000, the firm offers the legal expertise of its 115+ attorneys, who have accumulated experience and problem- ...
-
Front Desk Associate
5 days ago
East River Medical Imaging, PC White Plains, United States**Job Title**: · **Front Desk Associate (Onsite)** · **Reports To**: · **Front Desk Supervisor** · **Department**: · **Front Desk** · **Updated Date**: · **06/22/2022** · **FLSA Status**: · **Non-Exempt** · **Location: White Plains, NY** · $20-$25/hr · **Summary**: · At East Rive ...
-
Armed Security Officer
2 days ago
Century Protective Services White Plains, United States**Job Summary**: · We are looking for experienced and reliable Armed Security Officers to join our company. Armed security officers are responsible for protecting designated people and places and should report noteworthy incidents to the company as they occur. You should possess ...
-
Administrative Assistant/ Receptionist
1 week ago
Abrams Fensterman White Plains, United StatesOur legal team is committed to providing each client with quality counsel, innovative solutions, and personalized service. Founded in 2000, the firm offers the legal expertise of its 115+ attorneys, who have accumulated experience and problem-solving skills over decades of practi ...
-
Receptionist/legal Assistant
6 days ago
Kaufman Dolowich LLP White Plains, United StatesOverview: · This individual serves an integral role as the "face/voice" of the firm for potential and existing clients and carriers. They will be responsible to serve callers and visitors by responding promptly through greeting, welcoming, and directing them appropriately. This i ...
-
Real Estate Paralegal
3 days ago
Deraaff Capital and Raven3 Home Buyers White Plains, United StatesDeraaff Capital and Raven3 Home Buyers is a dynamic and rapidly growing real estate investment company specializing in acquiring multifamily and single-family properties in the vibrant Hudson Valley region. Our mission is to identify, acquire, and manage high-potential real estat ...
-
Legal Assistant
19 hours ago
Cabanillas & Associates, P.C. White Plains, United StatesLaw firm that specializes in Foreclosure Defense and Consumer Bankruptcy throughout the New York Metropolitan Area is seeking a highly motivated legal assistant for its White Plains office. · Responsibilities include: · - Provide customer service to existing clients (Answer quest ...
-
Manager, 403(B) Plan Operations
1 week ago
Pentegra Services, Inc. White Plains, United States**Job Summary**:Develop and manages 403(b) Team to ensure smooth operation of plans, client relationships and advisor communications to include superior customer service, consistently meeting quotas and standards and troubleshooting/problem resolution when necessary. · **Responsi ...
-
Assistant Deputy Director- C&s Projects and
3 days ago
Metropolitan Transportation Authority White Plains, United States**Description** · POSTING NO. · 7379 · JOB TITLE: · Assistant Deputy Director · - C&S Projects and Technical Support · DEPT/DIV: · Operations - Communications & Signal (C&S) · WORK LOCATION: · North White Plains · FULL/PART-TIME · FULL · SALARY RANGE: · $103,682.00-$136,083.15 · ...
-
Store Manager 3 White Plains
1 week ago
Sunglass Hut White Plains, United States**Requisition ID**:842637 · **Store #**: Sunglass Hut · **Position**:Full-Time · At Sunglass Hut, we're always in the sun. You'll find a dynamic space with endless possibilities to grow your career. We are a culture that wants to see you succeed, develop your customer expertise a ...
-
Attendance Liaison
19 hours ago
White Plains City School District White Plains, United StatesMINIMUM ACCEPTABLE TRAINING AND EXPERIENCE: Possession of a high school or equivalency diploma and either: · A) Two (2) years' experience as a school attendance officer which included investigations of truancy; or · B) Two (2) years' experience working with the public, which must ...
-
Director of Maintenance G-650 Khpn
4 days ago
Clay Lacy Aviation White Plains, United StatesClay Lacy Aviation has been providing private jet services around the globe since 1968. Taking pride in pursuing perfection is at the center of everything we do. Our most valuable asset is our experienced team. If you are goal-oriented, dedicated, proactive, and enjoy a customer- ...
-
Director of Curriculum
6 days ago
The Learning Experience White Plains, United States**Learn, Play and Grow with usJoin the fastest growing daycare today We are leaders in the early education industry and our people are given the opportunity to do their best every day, in our state-of-the-art centers.** · - Center Directors of Curriculum at The Learning Experienc ...
-
Medical Assistant- Apex + Extended Care
19 hours ago
Fountain Life, LLC White Plains, United StatesMedical Assistant · **Location**: White Plains, NY · We are seeking a qualified Medical Assistant to join our team at Fountain Life to work as part of an integrated care team including nurses, nutrtitionists, health coaches, care coordinators and led by a longevity physician. The ...
-
Director of Career Services
1 day ago
The Center for Ultrasound Research & Education White Plains, United States**About the Center for Ultrasound Research and Education** · Center for Ultrasound Research and Education (CURE) is committed to creating positive work environments that support the success of our students and employees. We believe that employees who feel valued and respected wil ...
-
Mobile Mental Health Clinician
4 days ago
Family Services of Westchester White Plains, United StatesFamily Services of Westchester, Inc. (FSW) provides mental health and social services that strengthen and support families, children and individuals at every stage of their lives. Serving 30,000 people a year, including 20,000 children, with nearly 50 innovative programs, includi ...
Governance and Audit Response Associate - White Plains, United States - Sumitomo Mitsui Banking Corp
Description
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 Rail Services LLC, Manufacturers Bank, 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 $86,000.00and $143, 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 Regulatory/Audit Response Associate with a minimum of 5 years' experience in the banking & finance industry to work within the Capital Markets & Nikko Information Technology Department to help manage technology-specific regulatory and audit requests and efforts to address control gaps.
This role will work closely with IT Development and Infrastructure teams to provide responses to requests from the Regulatory Liaison team, Internal Audit Department and external auditors. The role requires the individual to manage expectations, prioritize responses, review documentation to ensure alignment with requests, and coordinate the delivery of a quality/timely response.
Role can be located in White Plains
Role Objectives
Qualifications and Skills
Additional Requirements
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.
We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at
