Internal Audit Manager

ABOUT THE ORGANIZATION

SMBC MANUBANK was formed by a group of banking entrepreneurs in June 1962. Our scope is to serve the specialized needs of California middle-market businesses, manufacturers, wholesalers, distributors, importers, exporters, and service companies, including small businesses and professionals.

The anticipated salary range for this role is between $145,000.00 and $185,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Our mission is to be "the bank of choice" for middle market and professional service companies by establishing long term customer relationships and loyalty, providing superior products and services through a core of highly skilled and seasoned bankers.

To achieve our mission to be the 'bank of choice' for middle market and professional services companies, we are focused on our vision to be the premier California regional business bank that can provide the sophistication and expertise of a larger institution with the personal 'high touch' services of a smaller bank.

Specialties:

Commercial Loans and Lines of Credit, Asset-Based Financing, SBA Loans, and Specialized Financing, Real Estate Loans, Cash Management Services, International Services

JOB SUMMARY:

SMBC MANUBANK is seeking an experienced Auditor to lead and execute audits, perform and review risk assessments and issue validations across the Bank. This position will report to the Team Lead who in turn reports to the Internal Audit Department (IAD) Chief Audit Executive.

PRINCIPAL DUTIES & RESPONSIBILITIES:

The position will be responsible for managing independent internal audits in accordance with IIA Standards and internal procedures.

Manage audit execution teams comprised of internal staff and external consultants, as applicable, and assign responsibilities appropriately.

Determine scope of audit engagement based on risk-based approach.

Issue audit reports with clear and value-added messages, identifying root causes and remediation recommendations.

Provide ongoing feedback to team members for audit execution.

Perform and review issue validations in accordance with established audit methodology.

Conduct risk assessment of assigned risk areas quarterly to accurately document the risk profile and identify the regulations, vendors, models, and systems applicable, among others.

Support the annual audit planning and quarterly continuous monitoring assessments process.

Actively participate in executive management meetings and/or committee meetings.

POSITION SPECIFICATIONS:

Minimum 8 years of senior level audit experience in areas related to Business and Risk Audit with a financial institution, regulatory agency, and/or consulting firm. CIA, CFE, CISA, CISSP is a plus.

Subject matter expertise and technical understanding of Information Technology (IT), Information Security, Cybersecurity, Electronic/Digital Banking Operations, Third Party Vendors, and regulatory requirements.

Experience with data analytics tools and visualization techniques including best practices to drive impactful insights to the business.

Demonstrates strong understanding of internal audit techniques, regulatory requirements, internal controls, and audit principles.

Ability to maintain independence and objectivity.

Strong project execution skills, with an ability to lead audits, provide guidance and support to the audit team, and control the workflow of the audit.

Appropriate written and verbal communication skills to support the audit execution team’s delivery of clear and concise workpapers and effective interaction with key stakeholders.

Exhibits an appropriate level of professional skepticism and encourages their team to do the same.

Shows initiative and applies critical thinking skills to effectively challenge decisions made by the audit execution team.

Negotiates and resolves conflict within the audit team and with the audit client.

Demonstrates an attitude of continuous learning in applicable risk/functional areas.

EOE STATEMENT

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law.

CCPA DISCLOSURE

Personal Information Collection Notice: This notice contains information under the California Consumer Privacy Act (CCPA) about the categories of personal information (PI) of California residents that SMBC MANUBANK collects and the business or commercial purpose(s) for which the PI may be used. We do not sell PI. More information about our collection and use of PI may be found in our CCPA Privacy Policy at https://www.smbcmanubank.com/privacy/ccpa-disclosure . Persons with disabilities may contact our Customer Contact Center toll-free at (877) 560-9812 to request the information in this Notice in an alternative format.