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Governance And Audit Response Associate - Associate
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- 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.
- 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.
- 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.
- 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
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