PERM - AD - Audit Manager - Vice President
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Section 1 - Details
Job Title / Corporate Title: Audit Manager / VP
Department / Group: Audit Department/Internal Audit Group
Responsible to / Line Manager: Director or Executive Director
Direct Reports: None
Location: London
Date Prepared: June 2019, updated July 2021, updated April 2022, updated July 2023, updated August 2024
Certification regime: Out of scope
Section 2 - Purpose of Job
This role exists to deliver an independent view and assurance over the control environment in operation in EMEA business entities (SMBC Bank International plc (SMBC BI), SMBC Branches, and other subsidiaries in EMEA Region). It undertakes and manages audits across a range of activities and supports teams of auditors to deliver in-depth testing and review to support audit opinions.
Section 3 - Background
* Internal Audit is asked for an independent opinion on the changes and controls implemented by the organisations within EMEA Region, this role aims to provide insight and opinion on the key controls in operation in the business areas under review.
* This role is responsible for managing the delivery of the planning, fieldwork, and reporting for audit assignments as Auditor in Charge (AIC), under direction from an Audit Partner.
* With a particular area of expertise or experience, the Audit Manager should be able to undertake detailed testing and oversee the work of others, providing coaching to team members.
* This role will promote an effective control environment throughout the organisation through assurance work and being available to management for advice and guidance on risk and control issues.
Section 4 - Facts / Scale
ADIA is responsible for the delivery of around 100 internal audit reports per year across the EMEA region. On average, an Audit Manager would be responsible for the delivery of around 6-8 audits per year, and contribute to other audit assignments through delivery of fieldwork for other Audit Managers.
The Audit Manager can be assigned the role as AIC in any of the business for which ADIA has internal audit responsibility, covering SMBC BI, SMBC Branches, SMBC Nikko CM Ltd, SMBC Aviation Capital, SMBC Bank EU AG, Sumitomo Nikko Bank Luxembourg (SNBL), and SMBC Leasing (UK) Ltd.
Section 5 - Accountabilities & Responsibilities
The Audit Manager is primarily accountable and responsible for the timely delivery of an internal audit assignment. This includes:
* Preparation of planning material to ensure that the internal controls covering the key risks are appropriately tested.
* Overseeing the work performed for the audit assignment by other team members.
* Directing testing to cover key areas of risk and determine the scope and focus in agreement with the Audit Partner.
* Preparing draft Audit Control Recommendations for review by AD Management.
* Preparing the final internal audit report.
* Undertaking follow-up and closure of internal audit recommendations.
The Audit Manager will also be expected to contribute to Audit Department initiatives and work collaboratively across EMEA.
Section 6 - Knowledge, Skills, Experience & Qualifications
Educated to degree standard and holder of a professional qualification (Usually CIA, ACCA etc) with strong numerical and financial skills and understanding of the regulatory environment.
Attention to detail is essential. Previous internal audit experience is required to demonstrate a track record in effective internal audit delivery and management.
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