Risk and Control Analyst

Overview

Process and Control Department is seeking an analyst to assist with the business related internal controls assessment for financial & regulatory reporting ("ICFRR") across SMBC and its subsidiaries (includes assistance with the evaluation of impact of service organizations for ICFRR). This is a critical role because of SMBC's complex business environment and internal corporate structures. This role would require someone with relevant experience in performing internal control evaluations for aforementioned areas in a challenging environment and to assist SMBC Management to remediate any internal control gaps.

Responsibilities

a) Assist in the preparations of annual business & entity level related internal controls scoping assessment, as well as on-going risk assessments and risk data gathering in accordance with COSO 2013;

b) Assist in COSO 2013 and Japanese SOX (“J-SOX”) business & entity level process documentation, including flowcharts & key controls matrices, through management of the Company’s periodic COSO 2013/J-SOX certification process with the SMBC’s Internal and External Auditors;

c) Assist with the evaluation of impact of service organizations for ICFRR;

d) Assist in building and maintaining a collaborative relationships with Internal and External Auditors in order to ensure that the COSO 2013/J-SOX testing and audit procedures related to business/entity level controls are executed in an effective and efficient manner;

e) Assist in developing strong relationships with key business/entity level stakeholders in order to identify areas of risk, while also preparing business partners and business process owners to properly execute COSO 2013/J-SOX requirements;

f) Assist in managing the remediation of business/entity level related internal control design and operating effectiveness deficiencies, including liaising with cross-functional remediation teams and documentation of the SMBC’s summary of aggregated deficiencies;

g) Assist with the preparation and provide annual internal control related training with team leads.

Qualifications

Work  Experience:  1-3 years of comparable or revelant experience. Experience with US Sox and IAD. Big Four Audit at a multinational public companies within financial services is a plus.

Education: Required BA or BS. COSO 2013 Internal control certificate is a plus.