Executive Director, Head of Tech Cyber Data First Line Testing

Sumitomo Mitsui Financial Group, Inc. • $150K — $180K *
Charlotte, NC 28269In-Person
Finance & Insurance
8 - 10 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 10+ years of experience in Audit/Operational Risk/First Line Control Testing within financial services, specifically in Cybersecurity, Data Management, and Technology Risk.
  • Detail-oriented with a proven ability to challenge existing processes and apply risk management principles.
  • Experience in documenting control testing findings and performing trend analysis.
  • Proficiency in control frameworks, assessments, and monitoring programs.
  • Expertise in process design and reengineering, including process mapping.
  • Exceptional written and verbal communication skills, along with time management.
  • Experience engaging with senior management in a business context.
  • Strong critical thinking, analytical, and organizational skills.
  • Knowledge of NYDFS 500 compliance and experience in regulatory implementation and monitoring.
  • Familiarity with frameworks like NIST CSF, ISO 27001, and COBIT.

Responsibilities

  • Lead risk-based control testing for cybersecurity, data management, and technology compliance with policies and regulations.
  • Develop and document Control Monitoring/Testing routines with thorough analysis of current processes.
  • Assess control effectiveness and propose enhancements to strengthen the control environment.
  • Prepare detailed workpapers and monitoring reports summarizing the scope and conclusions of testing.
  • Communicate program requirements and results to stakeholders and drive necessary remediation.
  • Track identified issues and corrective plans to validate remediation efforts.
  • Perform in-depth analysis of Cybersecurity, Data, and Technology controls to uncover control weaknesses.

Benefits

  • Opportunities for skill development and staying current with industry trends.
  • Collaborative team environment focused on risk management excellence.
  • Exposure to a wide range of technology controls and frameworks.
  • Potential for leadership development and exposure to senior management.
  • Flexibility to manage multiple projects in a dynamic setting.
Full Job Description
Role Description

The Americas Division Control Office (AD CO) has the responsibility to ensure the implementation of consistent risk and control frameworks and establishment of efficient controls across SMBC Group AD. The Control Design and Monitoring function is a central CO function responsible for overall development and execution of 1st line control testing and monitoring program. The position of the Control Testing ED focuses on leading the execution of the IT, Data and Cyber Controls Testing and Monitoring program. This role requires background experience in controls testing and monitoring; controls validation; and/or IT, cyber and data risk management, assessing and evaluating the control environment within a financial services environment, including adequacy of the GRC control designs, operating effectiveness of processes/activities and remediation of gaps/ findings. The role will oversee the Cybersecurity, Data and Technology control testing as well as establish control monitoring routines. This position will help enhance the controls through leading targeted deep dives, root cause analysis, developing process maps and overall assistance with the design and execution of control effectiveness assessments.

The role requires strong expertise in IT risk management, data management and cyber security, and control assurance, with demonstrated ability to operate across first line technology teams, second line risk/compliance, and internal audit.

Responsibilities
  • Lead the planning and execution of risk-based control testing across cybersecurity, data management and technology domains to ensure compliance with internal policies and applicable rules, laws, and regulations
  • Develop Control Monitoring/ Testing routines with detailed documentation, walkthroughs, analysis and evaluation of the current processes
  • Assess the effectiveness of the controls and make recommendations for enhancement and strengthening of the control environment, as well as enhancement of the first-line control testing and monitoring methodology and guidance
  • Oversee and prepare detailed workpapers and monitoring results reports summarizing scope, methodology, and significant conclusions of testing/ monitoring performed within prescribed time frames
  • Clearly communicate the Program requirements and the results with stakeholders and drive remediation where needed
  • Assist in the reporting and tracking of identified issues and corrective action plans to validate remediation efforts
  • Oversee and perform deep dives of Cybersecurity, Data and Technology controls across all assets to identify areas of control weaknesses and process inefficiencies that may need enhancement
  • Possesses solid background knowledge and understanding of Technology, Data Management and Cyber Security standards, frameworks, policies and compliance regulations


Qualifications and Skills

  • 10+ year experience in Audit/ Operational Risk/ First Line Control Testing with strong understanding and knowledge of financial services industry, with specialized experience within Cybersecurity, Data Management and Technology Risk and Controls Assurance
  • Detail oriented, with proven ability to question the status quo and apply risk management principles to enhance processes, as appropriate
  • Ability to document Control testing findings and perform trend analysis and report production, and adopt emerging control testing/monitoring solutions (e.g., Artificial Intelligence; other automation tools)
  • Expertise in control frameworks, control assessment and control monitoring programs
  • Expertise in process and control design, including process mapping and process reengineering
  • Exceptional communication (both written and verbal) and time management ability
  • Proactive self-starter with ability to prioritize efforts across multiple projects and manage competing deadlines
  • Experience interacting with senior management within a business environment
  • Strong critical thinking, analytical and organizational skills
  • Demonstrated working knowledge of NYDFS 500, including hands-on experience implementing, monitoring, and maintaining compliance with regulatory requirements
  • Strong understanding of control frameworks and standards such as NIST CSF / NIST 800-53, ISO 27001, CRI Profile, CSA CCM, COBIT, FFIEC and/or internal banking control frameworks (FRB, NYDFS)
  • Preferred Certifications: CISA, CISSP, CISM, CRISC, CIA, CDPM (any combination)

About Sumitomo Mitsui Financial Group, Inc.

Sumitomo Mitsui Financial Group, Inc. Careers

There has never been a more opportune time to join the dynamic team at Sumitomo Mitsui Financial Group, Inc. (SMFG)—a leading force in the financial services industry recognized for its leadership in innovation and diversity.

Explore Job Opportunities

Sumitomo Mitsui Financial Group, Inc. offers a plethora of job opportunities that cater to a variety of skills and interests. The company is renowned for its commitment to professional growth and leadership development, making it an ideal environment for ambitious individuals looking to advance their careers.

Experience Professional Growth

At SMFG, career advancement is not just a possibility but a priority. The company supports its team members with extensive training programs, including leadership development and diversity training, ensuring that every employee has the tools and knowledge necessary to succeed.

Join a Diverse and Inclusive Team

Diversity and inclusion are at the core of the company culture at Sumitomo Mitsui Financial Group, Inc. With a global team that values unique perspectives and fosters a collaborative and inclusive environment, SMFG is a place where everyone can thrive.

Internship Programs

For those starting their career journey, SMFG offers internship programs that provide a robust foundation in the financial sector. Interns gain invaluable experience, working alongside seasoned professionals and engaging in projects that offer real-world applications of their studies.

Benefits and Culture

Sumitomo Mitsui Financial Group, Inc. is dedicated to not only attracting but also retaining top talent by offering competitive benefits that enhance both personal and professional life. The company culture promotes work-life balance, employee well-being, and continuous learning.

Innovative Work Environment

Innovation is a key driver of SMFG’s success. Employees are encouraged to bring forward-thinking ideas to the table and are provided with the resources to transform these ideas into actionable solutions that drive the financial industry forward.

Networking and Career Development

Networking opportunities within SMFG are abundant. Employees are encouraged to connect with colleagues and industry leaders through various platforms and events, enhancing their professional network and opening doors to myriad career opportunities.

Apply for a Position

Sumitomo Mitsui Financial Group, Inc. is actively hiring and looking for talented individuals who are passionate, curious, and driven. Explore open positions that match your skills and interests on the SMFG careers page.

Stay Connected with SMFG Careers

Keep up to date with the latest career tips, industry insights, and company news from Sumitomo Mitsui Financial Group, Inc. Subscribe to receive updates and stay informed about new job openings and employment trends.

Prepare for Your Interview

Aspiring to join SMFG? Prepare your resume to reflect your best self and gear up for the interview process where you can showcase your skills and passion for finance and innovation.

Career Opportunities Await

At Sumitomo Mitsui Financial Group, Inc., the potential for professional development and personal growth is limitless. Discover the exciting and rewarding career opportunities that await at SMFG, where every position contributes to the company’s global success and leadership in the financial industry.
Learn more about Sumitomo Mitsui Financial Group, Inc.
Industry
Finance & Insurance
* Ladders Estimates

Similar Jobs

Ad banner background

Get Ready For Your
Next Interview

More Jobs at Sumitomo Mitsui Financial Group, Inc.

More Finance & Insurance Jobs

Find similar Executive Director, Head of Tech Cyber Data First Line Testing jobs:

NationwideCharlotte, NC