UnionRecruiter Since 2001
the smart solution for Union jobs

Compliance Systems Auditor Specialist

Company: Sumitomo Mitsui Banking Corporation
Location: White Plains
Posted on: January 15, 2020

Job Description:

OverviewSMBC is seeking an experienced IT Auditor to work within the Internal Audit Department. This auditor will focus heavily on the IT components of compliance audits such as santions screening, AML transaction monitoring and KYC.In this position, the individual will work closely with the compliance audit team as they evaluate the current control environment for the above stated areas within the Americas Division and provide feedback to Management on the adequacy of control designs, as well as the operating effectiveness of processes/activities.This position will not have any direct reports.-- This position may be assigned auditor-in-charge responsibilities at which time a team of 2-4 auditors will be managed under their lead.--Up to 10% domestic/international travel during the fiscal year.ResponsibilitiesThis position will require the individual to plan and perform internal audits over the technology platforms that support key compliance functions within SMBC's Americas Division. This individual is expected to work closely with a business audit team, identify the key functions that support business processes and controls and develop audit programs to evaluate the effectiveness of those controls.--Key responsibilities are as follows:

  • Examine and evaluate internal controls in key risk areas to ensure compliance with internal policies and applicable rules, laws, and regulations; Develop audit programs and perform audit fieldwork;
  • Propose or evaluate appropriate corrective measures designed to strengthen internal controls, operational policies and procedures, and other weaknesses identified during audits;
  • Prepare clear and concise audit work papers and audit reports summarizing scope, methodology, and significant conclusions of audit procedures performed within prescribed time-frames;
  • Conduct audit scoping, planning and closing meetings with Internal Audit and relevant Department Management;
  • Oversee and report on key projects to Internal Audit managementQualifications
    • Minimum 5-7 years of IT Audit experience in Financial Services, some of which focuses primarily on compliance and/or financial crimes areas of financial institutions
    • Strong understanding of IT systems and processes supporting compliance requirements of financial institutions
    • Preferred Education/Licenses/Certifications/Registrations:
      • Bachelor's Degree in Accounting, Finance, Computer Science, MIS or other related field
      • CISA, CIA or other applicable certification a plus and will be required within a reasonable time after joining
      • Ability to understand, interpret, and apply general and specific administrative and departmental policies and procedures, as well as applicable federal & state laws and regulations
      • Overall understanding of audit techniques, internal controls and audit principles. Ability to manage and execute audits, from planning to audit closing
      • Strong critical thinking, analytical and organizational skills
      • Strong oral and written communication skills, including ability to write clear and concise audit recommendations and reports
      • Working knowledge of Microsoft Office Suite (Outlook, Excel, Word, Power-Point)----

Keywords: Sumitomo Mitsui Banking Corporation, Union , Compliance Systems Auditor Specialist, Accounting, Auditing , White Plains, New Jersey

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Accounting, Auditing Jobs


Chief Financial Officer, Multi-location Healthcare Services, 78311
Description: Chief Financial Officer, Multi-location Healthcare Services A rapidly growing multi-location healthcare services company is seeking an accomplished, operations focused Chief Financial
Company: Truenorth Executive Search, Inc.
Location: New York
Posted on: 01/23/2020

Credentialed Tax Expert - CPA
Description: Overview br If you are a highly motivated individual with an active credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete their taxes (more...)
Company: Intuit
Location: New York
Posted on: 01/23/2020

Manager, Program Finance
Description: Title: Manager, Program FinanceJob ID: -SAS20192410-34308Location: Clifton, NJJob Description:L3Harris Technologies -is seeking a Manager of -Program Finance in Clifton, NJ. This position will be responsible (more...)
Company: L3Harris
Location: Clifton
Posted on: 01/23/2020


Structured Finance Relationship Manager-CMBS/RMBS
Description: The Level: 12 for internal purposes only The Location: Opennationwide. This position will require 50-75 nationwide travel. The Role: The Structured Finance Relationship Manager SF RM is responsible (more...)
Company: The McGraw-Hill Companies
Location: New York
Posted on: 01/23/2020

Staff Accountant
Description: STAFF ACCOUNTANT JOB DESCRIPTION In this role,the Staff Accountant's responsibilities will include maintaining financial records and reports, performing account reconciliations, assisting with budget (more...)
Company: Savory
Location: New York
Posted on: 01/23/2020

Staff Accountant
Description: The ideal candidate will be responsible for timely and accurate preparation of financial accounting
Company: A.P.C.
Location: New York
Posted on: 01/23/2020

Senior Trading Systems Java Software Engineer
Description: Description br br About this role br br At BlackRock, we are looking for Software Engineers who like to innovate and solve complex problems. We recognize that strength comes from diversity, and (more...)
Company: BlackRock, Inc.
Location: New York
Posted on: 01/23/2020

Credentialed Tax Expert - CPA, Enrolled Agent or Practicing Attorney - Seasonal Remote
Description: Overview br If you are a highly motivated individual with an active credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete their taxes (more...)
Company: Intuit
Location: Paterson
Posted on: 01/23/2020

Credentialed Tax Professional - CPA Enrolled Agent or Attorney - Seasonal Remote
Description: OverviewIf you are a highly motivated individual with an active credential CPA x2F EA x2F Practicing Attorney and excellent communication skills, we need you to help our customers complete their taxes (more...)
Company: Intuit
Location: Paterson
Posted on: 01/23/2020

Business Systems Analyst - Finance
Description: SunIRef:it Business Systems Analyst - Finance International Rescue Committee 481 reviews - New York, NY International Rescue Committee 481 reviews Read what people are saying about working here. The IT (more...)
Company: International Rescue Committee
Location: New York
Posted on: 01/23/2020

Log In or Create An Account

Get the latest New Jersey jobs by following @recnetNJ on Twitter!

Union RSS job feeds