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SMBC Group · 8 hours ago

Sales and Trading Audit Director

New York, NY

Full-time

Hybrid

Senior Level, Lead/Staff

$190K/yr - $225K/yr

10+ years exp

SMBC Group is a top-tier global financial group headquartered in Tokyo, offering a diverse range of financial services. They are seeking an experienced audit manager to lead audit coverage of Front Office and associated support functions within the Internal Audit Department, ensuring compliance with standards and effective communication with stakeholders.

AdviceBankingFinancial Services

H1B Sponsor Likely

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 stakeholder 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 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

Qualification

Audit experienceSecuritized products knowledgeCapital markets products knowledgeRisk management frameworkAudit techniques expertiseData analysis skillsProject management skillsMicrosoft Office proficiencyCommunication skillsLeadership skillsDetail-oriented

Required

Minimum of 10 years of audit experience in the in Audit, Risk, Business Control, Compliance, Finance in the financial industry

Strong knowledge of securitized products (ECM, DCM, ABS and CLO)

Good understand of capital markets products (interest rate swaps, fixed income securities)

Good understanding of electronic trading

Experience related to 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 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

Preferred

Advanced degree preferred

Benefits

Annual discretionary incentive award

Competitive portfolio of benefits

Company

SMBC Group

Glassdoor3.5

SMBC Group is a top-tier global financial group.

Founded in 1590

New York, New York, USA

10001+ employees

https://www.smbcgroup.com/americas

H1B Sponsorship

SMBC Group has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (160)

2024 (87)

2023 (73)

2022 (44)

2021 (29)

2020 (26)