**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 $213,000.00 and $249,000.00. 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:** We are seeking a Head of Internal Controls to manage the bank’s internal controls compliance program, ensuring adherence to the Federal Deposit Insurance Corporation Improvement Act (FDICIA) internal control frameworks and corporate governance and risk standards. The role involves leading the FDICIA internal controls program life cycle from the beginning to the end and collaborating with internal stakeholders across departments as well as with SMBC holding company to ensure effective and sustainable compliance practices. This role also serves as the main liaison with the external auditors and the bank’s regulators on the audits or examinations of the bank’s internal controls program. **PRINCIPAL DUTIES AND RESPONSIBILTIES:** + Leadership & Strategy: build the bank’s standalone FDICIA compliance program, developing strategies to ensure ongoing adherence to regulatory requirements and the integration of internal controls into the bank’s broader risk management and governance frameworks. + FDICIA Compliance Management: manage the end-to-end compliance process, including planning, risk assessments, control identification, control design and testing, documentation, remediation efforts, deficiency evaluation, and reporting. + Control Monitoring & Testing: Supervise the planning and execution of control testing to evaluate the effectiveness of internal controls over financial reporting (ICFR) and ensure all deficiencies are identified, reported, and remediated in a timely manner. + Collaboration with External Auditors/Bank Regulators: Act as the primary point of contact for external auditors/regulators regarding control-related matters, managing the coordination of audits/examinations and responses to inquiries related to internal controls. + Coordination and collaboration with SMBC holding company: Work with the internal controls team at the SMBC holding company to transition and build an efficient and effective FDICIA program in the Finance organization considering alignment of control objectives and resources + Regulatory & Compliance Oversight: Stay up-to-date with regulatory changes and best practices. Implement necessary updates to the compliance program to ensure alignment with evolving regulations. + Team Leadership & Development: Lead and mentor other internal controls staff and control owners, providing guidance, training, and support to ensure continuous development and effective execution of internal control activities. + Risk & Control Optimization: Identify opportunities to enhance the efficiency of control processes, including the automation of controls and testing procedures, while maintaining a strong control environment. + Reporting & Documentation: Prepare and present regular reports to senior management, Audit committee, and regulators on FDICIA compliance status, internal control deficiencies, and remediation efforts. + Continuous Improvement: Drive the continuous improvement of control processes and systems by analyzing results, incorporating feedback, and adopting industry-leading practices. **POSITION SPECIFICATIONS:** **Education:** Bachelor’s degree in Accounting, Finance, Business Administration, or related field **Experience:** + Minimum of 15+ years of experience in internal controls compliance (SOX, FDICIA), internal audit, or risk management within the financial services or banking industry. + At least 7 years of experience in a leadership role, with a proven track record of managing internal controls compliance programs, audit of internal controls, and audit processes. + In-depth knowledge of SOX or FDICIA requirements, COSO framework and internal controls over financial reporting (ICFR). **Skills:** + Strong leadership and people management skills. + Excellent written and verbal communication skills, with the ability to engage and influence senior leadership and external stakeholders. + Analytical mindset with the ability to identify control gaps and recommend actionable solutions. + Experience working with external auditors and regulatory bodies. + Familiarity with financial systems and software (e.g., Oracle, FIS or similar) and control automation tools. + Strong project management skills and the ability to manage multiple priorities effectively. **Ideal but not required:** + Education: Master’s degree + Certifications: CPA, CIA, or CISA preferred **EOE STATEMENT** SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com. **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.