- Manage development and integration of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer (Securities) buinsesses.
- Coordinate and manage a portfolio of projects and activities, providing transparency of progress against the strategic roadmap
- Lead projects from initial discovery phase through to final implementation, ensuring responsibilities are clear and milestones are being met according to plan.
- Support of program and business strategies and objectives: resource and demand planning, change and resource management processes
- Coordination and management of key senior meetings to present updates, emerging risks and manage action items
- Develop and execute on proofs of concept on initiatives that address Compliance project goals.
- Create information flow among Project team members and stakeholders across legal entities
- 10+ years of professional experience at large banks with a focus on Compliance technology.
- 7+ years of professional experience with a focus in portfolio, program and/or change management.
- Subject matter expertise in Compliance technology including Transaction Monitoring, KYC, Trade and Communications surveillance, Fraud, Employee Trading, and/or Sanctions Screening
- Experience with systems and processes to comply with industry regulators (e.g. NFA, CFTC, FINRA, Fed)
- Knowledge of Agile development management using tools such as Jira, Confluence and git
- Ability to successfully engage in multiple initiatives simultaneously while interacting professionally with executives, managers, and subject matter experts
- Ability to establish a new system; carry out planning, design and implementation in an agile fast moving environment and see through it as a matured production system.
- Ability of manage a team of developers and vendors on delivery the system solution
- Experiences on building connectivity and interfaces between various system solution.
- Highly developed sense of accountability and follow-through with an ability to effectively prioritize multiple tasks, projects and goals
- Ability to understand complex and highly technical concepts, and ability to easily explain/translate them to peers
- Experience managing 3rd party vendors on licensing and professional services for the implementation of new platforms
- BA/BS degree required
- Excellent verbal and written communication skills
Director of Compliance Technology - White Plains, United States - Sumitomo Mitsui Banking Corporation (SMBC)
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.
The anticipated salary range for this role is between $180,000.00and $237, 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.
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.
Role Description
SMBC is in the process of leading a Digital Transformation across our Americas Division as we continue to modernize our technology, focus on our data driven approach, grow and plan for the future.
As a result of this expansion, we are seeking an experienced Technology Manager to build and lead our Compliance Technology initiatives. In this position you will have an opportunity to run several projects, working with stakeholders to understand requirements, data sources, and priorities. You will help shape and deliver the strategic vision for your organization and the system architecture.
Role Objectives:
Qualifications and Skills
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.
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.
SMBC is an EO employer - M/F/Veteran/Disability. 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