Vice President, Control Design and Monitoring - Tech, Cyber, Data

Sumitomo Mitsui Financial Group, Inc. • $160K — $190K *
Charlotte, NC 28269In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5+ years of experience in Audit/Operational Risk/First Line Control Testing in the financial sector
  • 3-5 years of specialized experience in Cybersecurity and Technology Risk and Controls Assurance
  • Hands-on capability in design and operating effectiveness testing of cyber controls
  • Familiarity with control frameworks such as NIST CSF, ISO 27001, and FFIEC
  • Strong communication skills and experience liaising with senior management
  • Critical thinking and analytical prowess are essential for this role

Responsibilities

  • Execute risk-based control testing to ensure compliance with policies and regulations
  • Perform detailed control monitoring/testing with thorough documentation and analysis
  • Assess and recommend enhancements for the effectiveness of controls
  • Prepare comprehensive work-papers and reports on monitoring results
  • Communicate program requirements and testing results clearly to stakeholders
  • Assist in tracking issues and validating remediation efforts
  • Conduct in-depth evaluations of Cybersecurity, Data, and Technology controls for weaknesses

Benefits

  • Comprehensive health benefits including medical, dental, and vision coverage
  • Retirement savings plans with company matching
  • Professional development and training opportunities
  • Flexible working arrangements
  • Generous vacation and paid time off policy
Full Job Description
Role Description

The Business Control Office (BCO) has the responsibility to ensure the implementation of consistent risk control frameworks and establishment of efficient risk controls across SMBC Group AD. The Control Design and Monitoring function is a central BCO function responsible for overall development and execution of 1st line control testing and monitoring program. The VP, Cybersecurity, Data & Technology Controls Testing and Monitoring is responsible for evaluating the design and operating effectiveness of key Cybersecurity, Data and Technology controls within a financial services environment. This role requires conducting control deep dives, executes controls validation/testing (including sample-based testing), develops and performs ongoing control monitoring routines, and partners with Technology, Data and Cybersecurity stakeholders to identify control gaps, drive remediation, and enhance the overall Information Security control environment.

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.

  • Execute risk-based control testing across cybersecurity, data management and technology domains to ensure compliance with internal policies and applicable rules, laws, and regulations
  • Perform 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
  • Prepare detailed work-papers 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
  • 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

  • 5+ year experience in Audit/ Operational Risk/ First Line Control Testing with strong understanding and knowledge of financial services industry, with at least 3-5 years of specialized experience within Cybersecurity and Technology Risk and Controls Assurance
  • Hands-on experience performing design and operating effectiveness testing of technology/cyber controls, with ability to document Control testing findings and perform trend analysis and report production
  • Expertise in control frameworks, control assessment and control monitoring programs
  • Strong communication (both written and verbal) and time management ability
  • Experience interacting with senior management within a business environment
  • Strong critical thinking, analytical and organizational skills
  • 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)
  • Demonstrated knowledge of cyber security control domains (IAM, vulnerability/patch, monitoring/logging, endpoint, network, cloud)
  • Preferred Certifications: CISA, CISSP, CISM, CRISC, CIA (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

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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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