IT Infrastructure Audit Director

Sumitomo Mitsui Financial Group, Inc. • $125K — $150K *
Charlotte, NC 28269In-Person
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Minimum 10 years of infrastructure audit experience in banking or technology industry.
  • Expertise in various technology infrastructure platforms such as Linux/Unix, Windows, and Cloud.
  • Familiarity with IT Change, SDLC, Asset Management, and Access Management processes.
  • Understanding of cybersecurity risks across multiple domains.
  • Knowledge of industry standards like NIST, ITIL, COBIT, and relevant regulatory expectations.
  • Strong command of audit techniques and internal controls assessment.
  • Proficient in Microsoft Office Suite, with a Bachelor's degree in a relevant field.

Responsibilities

  • Conduct audits of infrastructure and technology areas for compliance with requirements.
  • Create clear audit issues and reports for senior management review.
  • Challenge ongoing coverage of technology areas and propose improvements.
  • Facilitate timely tracking of risk issues for remediation.
  • Validate closure of issues raised by regulators and recommend actions as needed.
  • Collaborate with colleagues to identify risks and develop solutions.
  • Forge partnerships with legal and compliance functions for cohesive risk management.
  • Engage with stakeholders beyond formal audits to strengthen relationships.
  • Stay informed on industry and regulatory changes impacting the business.

Benefits

  • Hybrid work model allowing flexibility between home and office.
  • Opportunities for career growth and advancement within the organization.
  • Access to a collaborative work environment fostering teamwork and innovation.
  • Professional development resources to enhance skills and knowledge.
  • Health and wellness programs to support employee well-being.
Full Job Description
Overview

SMBC is seeking an experienced Audit Director with a minimum of 10 years' experience in the banking and finance/technology industry to conduct audit coverage for the firm's infrastructure and other related technology controls. Reporting to the Infrastructure Audit Team Head, the Audit Director will be responsible for (i) conducting infrastructure and other related technology audits, ensuring work is performed in accordance with IIA standards and Internal Audit Department (IAD) policies and procedures, and (ii) supporting the Infrastructure Audit Team Head in the execution of their duties. In addition, they will (i) support IAD Management team in helping to identify areas of coverage for planning, development, implementation, and maintenance of an internal audit program covering infrastructure and technology related areas across the Americas Division and (ii) conduct regular continuous monitoring activities covering infrastructure and technology related risks and related processes and controls within a prescribed timeframe.

When acting as the Auditor in Charge, the individual will be assigned an audit team (approximately 2-4 individuals) depending on the size and complexity of the audit.

Role Responsibilities

  • Conduct regular audits of infrastructure and technology related areas assessing adherence to firm and regulatory requirements and assessing design, operating effectiveness and sustainability of associated controls.
  • Create audit issues and reports that clearly articulate results, conclusions and recommendations for review with senior audit management and auditees.
  • Challenge the ongoing coverage of infrastructure and technology related areas and present ideas for improvement.
  • Facilitate risk issue tracking to promote timely remediation.
  • Track and validate closure of issues raised by IAD, external auditors, regulators, and self-identified by stakeholders, including recommending additional actions when necessary.
  • Work collaboratively with colleagues and auditees to identify risk concerns and agree reasonable solutions.
  • Forge strong partnerships with colleagues in other technology and control functions including legal, compliance, data security and risk management to promote front-to-back collaboration across risk assessment and findings remediation.
  • Partner with audit colleagues in other business verticals and/or geographies to share best practices and drive greater consistency.
  • Seek out opportunities to engage with stakeholders outside of formal audit periods to drive deeper relationships.
  • Stay up-to-date with evolving industry/regulatory changes impacting the business and participate in appropriate control forums.
  • Conduct regular Continuous Monitoring activities and auditable entity updates.
  • Recognize the confidential nature of IAD communications and access to information; exercise discipline in protecting the confidentiality and security of information in accordance with IAD policies and procedures.


Qualifications and Skills

  • Recommended minimum of 10 years of infrastructure audit experience in the banking and/or technology industry.
  • Knowledge and experience in various technology infrastructure platforms, e.g. Linux/Unix, Windows, Virtualization, Cloud, Middleware, Database, etc.
  • Knowledge and experience in various technology domains, including IT Change, SDLC, Asset Management, IT Governance, Incident and Problem Management, Access Management, etc.
  • Knowledge of cybersecurity related risks (i.e., Governance, Identify, Protect, Detect, Respond, Recover, Supply Chain, and Demand Management).
  • Knowledge of industry relevant standards (e.g., NIST, ITIL, COBIT) and related regulatory expectations (e.g., NYS DFS 500, FFIEC).
  • Knowledge of audit techniques, risk and internal controls assessment, and workpaper standards. Ability to manage and execute audits, from planning to audit closing.
  • Strong strategic thinking skills including the ability to identify and assess technology related risks.
  • Ability to act as trusted advisor to senior management using discretion and sound judgment in identifying, analyzing, and reporting results.
  • Excellent communication (both verbal and written), presentation and professional skills including the ability to interact effectively at all levels within the organization.
  • Enthusiastic and self-motivated, effective under pressure and willing to take personal responsibility/accountability.
  • Bachelor's Degree in Information Technology, MIS, Finance, or related field. Advanced degree is a plus.
  • Working knowledge of Microsoft Office Suite (Outlook, Excel, Word, PowerPoint).


Workforce Model

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. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

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

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