Head of Employee Compliance - New York, United States - Sumitomo Mitsui Banking Corporation

Sumitomo Mitsui Banking Corporation New York, United States

3 weeks ago

Description

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $180,000.00and $231, 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.

Role Description

This senior role within the Compliance Department manages the control areas related to regulatory registration (e.g., with FINRA), personal trading, outside business activities, and political contributions. This individual will be responsible for managing all aspects of these key control areas, including policies and procedures, vendor relationships, data integrity, and overseeing day-to-day operations.

Additionally, this individual will report on strategic and operational matters at management committees and meetings. Bring industry experience and expertise to Employee Compliance functions to help SMBC to assess its controls in an industry context.

Role Objectives

Manage both day-to-day and strategic planning for Employee Compliance functions
Provide reporting to management including Board and Executive Committees
Create and update dashboards for reviewing key performance indicators. Improve current processes and coordinate organizational procedures for optimized efficiency and productivity
Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for evaluating performance of relevant controls
Serve as manager and mentor, helping to train and develop more junior staff, including performance appraisals and other HR-related activities.
Oversee daily operations, performing an array of managerial and administrative tasks, including tracking deliverables to internal audit and Monitoring & Testing
Build and develop relationships with all Complianceemployees for increased efficiency and effective responsiveness into existing operations and help to define new operational strategies
Partner with HR to drive recruiting for full time, intern and contractor positions
Review and approve department expenses and create and monitor budgets for approval
Coordinate annual Compliance and Business plans and roadmap with priorities

Qualifications and Skills

At least ten years of relevant Employee Compliance experience
Bachelor's degree preferred
FINRA registration a plus
Excellent communication and presentation skills, leadership and relationship-building skills including the front office, infrastructure and risk management units. Including a proven ability to develop consensus in dynamic environments and to influence others
Excellent project management skills in order to effectively manage several priority projects at the same time with a sense of urgency
Exceptional reasoning and analysis skills; attention to detail; strong oral and writing skills; resourcefulness, among other abilities
Judgment in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.
Ability to provide thought leadership and subject matter expertise for compliance issues.

Additional Requirements

D&I Commitment

Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

#LI-RCH

SMBC's employees participate in a hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at

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