-
Senior Analyst, Risk and SOX Compliance
1 week ago
Brookfield California, United StatesSenior Analyst, Risk and SOX Compliance page is loaded · Senior Analyst, Risk and SOX Compliance · Apply · locations · Toronto, Ontario · time type · Full time · posted on · Posted 5 Days Ago · job requisition id · R · Location · Brookfield Place - 181 Bay Street · Bu ...
-
Prudential Standards Compliance Director
2 weeks ago
Citigroup Inc California, United StatesServes as an an Independent Compliance Risk Management (ICRM) senior compliance risk manager responsible for establishing internal strategies, policies, procedures, processes, and programs focused on the Prudential and Regulatory Compliance Risk Category designed to measure and p ...
-
Director, Cyber Risk Sr Group Manager
3 weeks ago
Citigroup Inc California, United StatesThe Technology and Cyber Compliance and Operational Risk Office (TCCORO) at Citi is the firm's reliable second set of eyes. Our mission is to drive comprehensive and consistent practices designed to identify, measure, monitor, report and manage operational and compliance risks wh ...
-
Director, Regulatory Compliance
2 weeks ago
OKX California, United StatesWho We Are: · Okcoin is one of the largest and fastest-growing cryptocurrency exchanges in the world, and is part of the OK Group family of companies. We help millions of people buy and sell Bitcoin, Ethereum, and over 100 other crypto assets every day. But our work is a whole lo ...
-
Senior Vice President, Compliance
4 weeks ago
Gilder Search Group California, United StatesJOB TITLE : Senior Vice President, Compliance · COMPANY BACKGROUND : The Company is a financial institution that specializes in commercial and small business banking. The company is one of the strongest banks in the country as measured by a variety of industry measurements and em ...
-
Compliance Programs Sr Officer SVP
2 weeks ago
Citigroup Inc California, United StatesThe Role: · This is a Senior Vice President position within Independent Compliance Risk Management (ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking & International ICRM. P ...
-
Manager Capital and Risk Management
1 week ago
Medavie Blue Cross California, United StatesPress Tab to Move to Skip to Content Link · Select how often (in days) to receive an alert: · Select how often (in days) to receive an alert: · Location: · Prince Edward Island, CA · Quebec, CA · NL, CA · Nova Scotia, CA · ON, CA · New Brunswick, CA · Blue Cross Life Insura ...
-
Compliance Program Lead
2 days ago
TBD California, United StatesFounded in July 2021, TBD is one of Block's four business units, alongside Square, Cash App, and Tidal. At TBD, we believe in a decentralized future that returns ownership and control over your finances, data, and identity. Guided by this vision, TBD is building an open source pl ...
-
Citigroup Inc California, United StatesServes as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citi's interactions with its regulators, including queries arising in the normal course o ...
-
Indirect Taxation Manager
4 weeks ago
Topconsultancy California, United StatesThe Indirect Taxation Manager will be responsible for managing all aspects of indirect taxation of the company's Clients. This includes compliance with Goods and Services Tax (GST), customs duty, and other relevant indirect tax regulations. The Manager will play a key role in ens ...
-
Director, HSSE LA
20 hours ago
TraPac California, United StatesThe Director, HSSE (Health, Safety, Security & Environment) is responsible for overseeing and directing TraPacs health, safety, security, environmental, and regulatory compliance in a manner that supports Company initiatives and objectives. · NATURE AND SCOPE · Due to the natur ...
-
Director of Finance
1 week ago
First Corporate Solutions California, United StatesSeeking an experienced and dynamic Finance executive to join our leadership team in Sacramento, California. Reporting to the CEO, the Director will be instrumental in overseeing all financial functions including accounting, administration, and Human Resources. We require a strate ...
-
Market risk director
2 weeks ago
Sumitomo Mitsui Banking Corp California, United StatesFull job 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 tha ...
-
Cyber Security Engineer
2 days ago
Cyber Crime California, United StatesThe Walt Disney Company · The mission of The Walt Disney Company is to be one of the world's leading producers and providers of entertainment and information. · View company page · Under the direction of the Cyber Security Manager, the Cyber Security Engineer is responsible fo ...
-
Cyber Security Engineer
4 days ago
The Walt Disney Company California, United StatesJob Description: · Under the direction of the Cyber Security Manager, the Cyber Security Engineer is responsible for maintaining an enterprise-wide information security program to ensure that information assets are adequately protected. This position is responsible for identifyin ...
-
Internal Audit-Bengaluru-Analyst-Business Audit
4 weeks ago
Goldman Sachs Group, Inc. California, United StatesWhat We Do · As the third line of defense, Internal Audit's mission is to independently assess the firm's internal control structure, · including the firm's governance processes and controls, and risk management, capital and anti-financial crime frameworks · , raise awareness o ...
-
Quality Engineer
2 weeks ago
Apartment Association of Orange County California, United StatesSummary: · The Quality Engineer is responsible for analyzing manufacturing planning to ensure compliance with customer specifications and evaluating outside suppliers to maintain quality standards. Additionally, they program and perform layout inspections of forged, machined, an ...
-
Senior Director Internal Audit
2 weeks ago
WaferWire LLC California, United StatesJob Description: Internal Audit Director (IT Focus) · Position Overview: · Waferwire Cloud Technologies is seeking an experienced and dynamic Internal Audit Director with a focus on Information Technology (IT) to join our team. Reporting to the Chief Audit Executive, the Interna ...
-
senior director of human resources
4 weeks ago
SBH Fashion California, United StatesCoach and advise leadership on performance management conversations and documentation. · Employee relations: Recommend appropriate action to maintain healthy work environment. · Provide HR policy guidance and interpretation. · Contribute to the creation/maintenance of HR Dashboar ...
-
IT SOX Audit Sr. Manager
4 weeks ago
Archer California, United StatesWhat You'll Do: · Establish & maintain the IT Governance structure by implementing relevant policies and processes that address technology risks faced by business applications. Own creation of, and updates to IT documentation relevant to business applications and ensure periodic ...
Vice president corporate compliance risk - California, United States - Sumitomo Mitsui Banking Corp
Description
Full job descriptionSMBC 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 $140,000.00 and $196, 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.
Role Description
SMBC Group is seeking a Vice-President for the Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD").
This role will report to the Director who serves as Compliance Risk Assessment team leader and will assist in managing a comprehensive compliance risk assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for applicable laws/regulations as applicable to respective legal entities.
Note:
the Compliance Risk Assessment excludes Financial Crime risks as those risks are assessed under a separate program.
The results of the risk assessment process will be utilized to drive monitoring and testing initiatives and refocus resources as new emergent risks are identified.
legal entities in the role of subject matter expert ("SME") as well as managing other SMEs outside of the CRA team in their conduct of compliance risk assessments for the legal entities they cover (primarily non-U.S.
entities). Management reporting of the risk profiles and ongoing evolution thereof will be required.The scope of this function will encompass SMBC Group's Americas Division, inclusive of U.S. broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; U.S. and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking and trading subsidiary; and Mexican non-bank leasing affiliate. The primary focus of this role will be on the U.S. broker dealer and U.S. swap dealer.
The candidate should have a strong risk management / internal control mindset to apply and assess risk identification and risk mitigation.
Role Objectives
Provide subject matter expertise and work with CRA team to conduct compliance risk assessments of various U.S. entities, particularly SMBC's broker-dealer and swap dealer businesses.
Lead meetings with business stakeholders to understand their products/services and related risks and controls. If necessary, work with business stakeholders to design action plans to address identified control gaps.
Assist CRA team in managing the CRA process, including ensuring stakeholders complete required tasks in a timely manner and that CRA team retains all required documentation.
Assist with the continuous enhancements to the design Compliance Risk Assessment (CRA) framework for the SMBC Group Americas Division.Remain informed of regulatory changes and how they impact the CRA framework, including with respect to the completeness of the CRA's risk scenarios or the level of inherent risk posed by SMBC's current activities.
Learn how to utilize newly implemented CRA technology solutions and provide training to subject matter experts outside the CRA team who are required to use the tool.
Provide leadership and guidance to CRA stakeholders as to the methodology, technical aspects and interpreting results.Develop risk dashboards designed to identifies the regulatory compliance risk profile on an ongoing basis.
Support the integration of the CRA results with the activities of the Compliance Department, including with respect to documenting key controls as well as driving monitoring and testing plans.
Qualifications and SkillsBachelor's Degree required; JD or MBA a strong plus (but not required).
Minimum of 8-10 years of prior regulatory, compliance, and/or risk management experience.
Experience conducting Compliance Risk Assessments either as a subject matter expert providing ratings or as a member of a CRA team.
Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses is a strong plus.Strong knowledge of U.S. securities/swaps regulations (SEC, CFTC, FINRA).
Demonstrated track record of successfully managing projects.
Ability to manage multiple projects simultaneously and re-prioritize workloads as necessary.
Strong judgement, political astuteness, and sensitivity to cultural diversity.
Ability to drive change and build consensus with relevant stakeholders.
Strong analytical skills to understand project goals and interpret them into meaningful action.
Ability to analyze results and identify trends / forecasting using resultant data and other available metrics (e.g., KPI, KRIs, etc.) while promoting measures to mitigate regulatory compliance risk.
Strong interpersonal and communications skills (written and verbal) to successfully interface with all levels of management and maintain solid working relationships in a collaborative group environment.
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#J-18808-Ljbffr
