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Overview SMBC internal audit is seeking an IT Quality Assurance (QA) Director for oversight of IT QA engagements and other assignments related to professional practice.
This is a key role in advising the audit department on audit framework, methodology, approach and process to achieve continuous improvement.
The anticipated salary range for this role is between $175,000 and $225,000. 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.
Responsibilities
Responsibilities
1 Lead the QA team's efforts in various fronts to increase the depth and breadth of IT QA coverage to ultimately drive the quality of internal audit function.
2 Conducting Quality Assurance over audit deliverables (e.g., risk assessment audit planning memo, workpaper reviews, reports) during or after audits selected for IT QA review.
3 Communicate with IAD staff about the QA results in a constructive way for future improvements. Report QA results objectively to IAD management and Head Office Quality Assurance Group.
4 Perform IT QA review of follow up validation for various issue types, such as internal audit issue, regulatory findings and management self-identified issues.
5 Develop training materials for the department and provide training for new hires and/or existing staff.
6 Participate in preparing presentation decks to internal or external stakeholders, such as Audit Committee, Executive Management, Regulators, or Head Office.
7 Enhance the overall audit methodology, such as procedures and templates documented in its audit manual.
8 Lead or participate in various projects to enhance internal audit activities.
9 Active participation in the creation and implementation of various new frameworks within the department, such as staff skill assessment, training program, risk assessments, annual audit plan, and enhanced continuous auditing.
10 Bring in industry leading practices in IT, integrate them with the department's process through pragmatic solutions, lead or assist the department's special projects to enhance various aspects of its execution in departmental operations and audits.
Qualifications
Qualifications
At least 15 years in IT internal audit, IT operations and risk management function or a combination with other related fields with solid understanding in IT risks, controls and corporate governance. This requirement can be met through significant first or second line experience in consulting, banking or financial industry experience. CISA, CISSP or other IT related professional licenses or certificates are strongly preferred. Bachelor degree in IT related majors is required and a Master Degree is preferred.
Core competencies and skills include:
1 Strong knowledge of IT internal auditing and internal controls practices and methods.
2 Strong knowledge of IT products and services.
3 Expert knowledge and skill of IT risk management theory and practice.
4 Experience and knowledge in working with banking regulators.
5 Ability to effectively oversee or assess the quality of audit workpapers for both fieldwork team and Senior Management.
6 Ability to provide discretion and sound judgment in evaluating and contextualizing problems identified by the audit team.
7 Strong analytical and technical skills; attention to detail.
8 Strong communication and presentation skills; ability to interact effectively with technical and non-technical managers/staff equally across the organization.
Overview SMBC internal audit is seeking an IT Quality Assurance (QA) Director for oversight of IT QA engagements and other assignments related to professional practice.
This is a key role in advising the audit department on audit framework, methodology, approach and process to achieve continuous improvement.
The anticipated salary range for this role is between $175,000 and $225,000. 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.
Responsibilities
Responsibilities
1 Lead the QA team's efforts in various fronts to increase the depth and breadth of IT QA coverage to ultimately drive the quality of internal audit function.
2 Conducting Quality Assurance over audit deliverables (e.g., risk assessment audit planning memo, workpaper reviews, reports) during or after audits selected for IT QA review.
3 Communicate with IAD staff about the QA results in a constructive way for future improvements. Report QA results objectively to IAD management and Head Office Quality Assurance Group.
4 Perform IT QA review of follow up validation for various issue types, such as internal audit issue, regulatory findings and management self-identified issues.
5 Develop training materials for the department and provide training for new hires and/or existing staff.
6 Participate in preparing presentation decks to internal or external stakeholders, such as Audit Committee, Executive Management, Regulators, or Head Office.
7 Enhance the overall audit methodology, such as procedures and templates documented in its audit manual.
8 Lead or participate in various projects to enhance internal audit activities.
9 Active participation in the creation and implementation of various new frameworks within the department, such as staff skill assessment, training program, risk assessments, annual audit plan, and enhanced continuous auditing.
10 Bring in industry leading practices in IT, integrate them with the department's process through pragmatic solutions, lead or assist the department's special projects to enhance various aspects of its execution in departmental operations and audits.
Qualifications
Qualifications
At least 15 years in IT internal audit, IT operations and risk management function or a combination with other related fields with solid understanding in IT risks, controls and corporate governance. This requirement can be met through significant first or second line experience in consulting, banking or financial industry experience. CISA, CISSP or other IT related professional licenses or certificates are strongly preferred. Bachelor degree in IT related majors is required and a Master Degree is preferred.
Core competencies and skills include:
1 Strong knowledge of IT internal auditing and internal controls practices and methods.
2 Strong knowledge of IT products and services.
3 Expert knowledge and skill of IT risk management theory and practice.
4 Experience and knowledge in working with banking regulators.
5 Ability to effectively oversee or assess the quality of audit workpapers for both fieldwork team and Senior Management.
6 Ability to provide discretion and sound judgment in evaluating and contextualizing problems identified by the audit team.
7 Strong analytical and technical skills; attention to detail.
8 Strong communication and presentation skills; ability to interact effectively with technical and non-technical managers/staff equally across the organization.
