GRC Senior Manager - Vice President

 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 $143,000.00 and $185,000.00. 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 Audit & Regulatory (ARM) Senior Manager who continues to build his/her career as part of a dynamic team, the Audit & Regulatory Management (ARM) team, that specializes in the co-ordination & management of audit and regulatory requirements for the Information Security team at JRI-A. The ARM team is the primary point of contact for Information Security related audits, and it actively manages all audit and issue closure requirements to ensure the process is efficient and well-coordinated.

The ARM Senior Manager will be a hands-on manager who can independently and successfully execute the ARM process, and lead team members (as needed) to follow the process. The ARM Senior Manager will manage multiple ARM assessments and will assume the lead role for an assigned suite of audits; more complex, large scope audits will be included within this portfolio.  They will be the lead point of contact and will be responsible for the co-ordination & facilitation of the audit from start to finish, ensuring the process is efficient and well-coordinated. The ARM Senior Manager will actively manage all audit requests, ensuring right artifacts are gathered and audit requests are tracked and responded to on time and be responsible for all related audit activities. In addition, they will be responsible for the successful management of the relationship between the stakeholders throughout the process. Please note this is NOT an auditor role. However, individuals with an auditor/assessor or similar background would be a plus.

Role Objectives

• Lead role for single large complex audit and or full responsibility for multiple smaller audits Responsible for coordination facilitation of audits from start to finish ensuring process is efficient and well coordinated Actively manage all audit requests ensuring right artifacts are gathered and audit requests are tracked and responded to on time Responsible for the timely escalation to ensure deliverables stay on track and be able to prioritized tasks as needed
• Manage facilitation and coordination of audit activities including but not limited to interviews documentation requests artifact requests logistical support for walkthroughs meetings facilitating follow up queries with various stakeholders and tracking status of all requested items
• Provide periodic status updates and timely feedback to Management
• Enhance coordination efforts each year ensuring inefficiencies identified in previous years are actively addressed and improved
• Communicate effectively and timely with auditors where necessary to affirm their understanding of controls in place to ensure the audit testing approach is effective and their requests are appropriate and clear In turn be able to clearly explain the request to Evidence Providers Control Owners outlining the risks controls being tested assisting them where necessary to ensure the correct artefact is prov