Audit Operations Manager
OverviewSMBC is seeking qualified individuals for an Audit Operations Manager position located in the New York City office. The Audit Operations and Reporting team are responsible for ensuring that the Internal Audit department meet Professional Practice Standards and optimizing the efficiency and effectiveness of our audit practices. The team manage all aspects of audit operations including annual planning, audit plan delivery tracking, issue oversight, stakeholder reporting, support regulatory requests and lead audit transformation initiatives. The function sets the foundation in leading and managing a progressive, future oriented Internal Audit Department permeated with continuous improvement spirit and operational excellence. ResponsibilitiesThis individual has a lead role in the evolution and continued maturity of the Internal Audit Function, responsible for driving the optimization of audit department effectiveness and efficiency. The primary responsibilities include ensuring the timely, accurate reporting of audit activities to key stakeholders including the Audit Committee, the SMBC board and other Executives. The individual is also responsible for the execution of critical and stream–lined operational processes to ensure the delivery of valued audit products to our stakeholders and maintaining transparency of activities across the audit department. Lead production of key stakeholder reports including Audit Committees, Board Reporting and Risk Governance Committee reporting ensuring timely and accurate content, supported by clear and concise executive messaging. Review of Internal Audit products, and maintain awareness of industry and regulatory perspectives to build relevant and timely thematic views that add value to executives. Drive and continuously improve audit department operational practices to ensure appropriate oversight and governance of the Audit Department, including plan change processes, budget management, skills assessments and complete and timely delivery against operational calendar of activities. Support the delivery of the annual audit plan and co–ordination of quarterly plan review process. Ensuring completion of quality risk assessments, plan comprehensiveness and resource availability. Support regulatory relationships through the maintenance of regulatory audit request tracking and coordination with audit leaders to ensure timely and accurate responses to requests. Enabling fully transparent processes and communications through collaboration, communication and document repositories including Sharepoint and Intranet enhancements. QualificationsQualified candidates will have significant, progressive experience in Audit or Risk Management functions within Financial Services organizations in reporting, operations or business management roles.Significant knowledge of audit practices, Internal Audit Standards and Regulatory reporting requirements.Significant knowledge of the regulatory environment, and experience in managing regulatory examinations and relationships. Possesses strong executive messaging, with strong skills in assimilating and understanding disparate data and information and distilling these to communicate audit insights in a powerful manner that leads to clear understanding and action. Significant experience in story–telling with data visualization. Excellent strong communication skills with the ability to clearly and concisely communicate complex analysis to auditors and executives. Possesses strong business and project management skills, makes sound decisions, exhibiting initiative, strong critical thinking skills and a bias towards action.Experience in creating automated and data–driven operational processes, key performance indicators and automated reporting mechanisms.Work Experience: 10 years experience in Risk Management or Internal Audit functions in a reporting, operations or business management role. Education: Required BA/BS Preferred MBA/MA/MSBachelor's degree in Business, Management, Finance, Data Analysis or other related majors preferred. Master degree is a plus.Software/ Programming Languages: Strong Excel and Powerpoint skills. Knowledge and experience using of data visualization and data analysis tools including Tableau, PowerBI and Alteryx preferred.