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VP, Internal Controls & Financial Reporting

New York, NY, USA | SMBC Group

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Accounting / Control
    Finance (Internal)
  • Experience:
    15-20 years
Job Description:
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SMBC Capital Markets is hiring for a VP to manage and ensure the internal controls over financial reporting (ICFR) is established and maintained to minimize misstatement errors and operate effectively to enable the Company to maintain accurate and complete financial data for US GAAP, IFRS , Japan GAAP, Management and Regulatory reporting. This position also manages the Company’s data governance program to establish controls over data lineage and data quality.

Reporting to the Director of Accounting Group - Capital Markets, this position manages the ICFR program based on COSO 2013 and the data governance program based on the Data Capability Assessment Model (DCAM) framework.

The position is located in our Harborside, Jersey City office in New Jersey. 


Responsible for completing the ICFR assessment of entity/process level controls and IT general controls.

Manage the IT general controls assessment, providing a single point of contact to verify findings with control owners, monitor remediation activities and provide periodic management reporting.

Develop test plans, review, summarize and evaluate test results and communicate these results to management.

Identify improvement opportunities and control enhancements.

Obtain a thorough understanding of systems and process elements.

Work independently and in a team environment to maximize performance

Responsible for establishing data governance (including data quality, data operations, data architecture and etc) based on DCAM framework.

Leverage and influence enterprise tools to support data governance activities.

Promote and educate others on data management practices to effectively implement and manage data governance standards and processes.


Bachelor degree in Accounting or Finance required; MBA degree preferred

CPA required; CIA and CISA a plus

Ideally 15+ years’ combined experience in public accounting (banking & financial sector), corporate finance/accounting and internal audit, including 5+ years of supervisory/managerial experience 

Strong people skills and project management skills

Excellent critical-thinking and problem-solving skills

Must be a motivated, self-starter who can independently handle tasks with little oversight

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