Jobs
>
New York City

    Business Control Officer - New York, United States - SMBC Group

    SMBC Group
    SMBC Group New York, United States

    3 weeks ago

    Default job background
    Full time
    Description

    The anticipated salary range for this role is between $113,000.00 and $165, 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

  • Manage the compliance and operational risk associated with the daily execution of trade finance business in conjunction with GTFD management, BCO of coverage, and Corporate Compliance-Advisory group in Compliance Department (CPAD).
  • Control/minimize various compliance risks arising out of daily execution of trade finance business including but not limited to Sanction/AML Risk, Third Party Risk (e.g. System Vender Risk), Operational Risks, Code of Conduct Risks and Fraudulent Risk
  • Ensure the compliance with the policies & procedures of the bank as well as GTFD in terms of the above mentioned various risks.

    • Role Objectives: Delivery

    Manage Sanction & AML risk matters related to the daily execution of trade finance deals booked in NY Branch and escalate any issues to to GTFD management and BCO of coverage, and Corporate Compliance-Advisory group in Compliance Department (CPAD)in a timely manner.


    • Manage the Third Party Risk (e.g. System Venders) in collaboration with product teams.

    Oversee the code of conduct risks as well as understand and manage requirements around cross border transactions in new jurisdictionsand provide necessary guidance to the relevant teams in GTFD with Corporate Compliance-Advisory group in Compliance Department (CPAD)


    • Work with BCDAD Fraud operations to understand overseas activities in order for fraud operations to develop fraud scenarios for this line of work Oversee the potential fraudulent risk which may arise out of daily operation and propose adequate countermeasures.


    • Work with relevant teams in GTFD (e.g. Planning, Transaction Management etc. ) as well as key stakeholders in the bank (e.g. CPAD). Work with transaction management to ensure new process requirements relating to business expansion are understood and supportabledevise and implement a "Compliance Risk Framework".

    Help marketing officers promote and develop Trade Finance Business by providing necessary advices (e.g. structure, risk mitigation method, identification of financial crime risk etc..) to manage various compliance risks arising out of the existing business as well as the new business which the dept is looking to implement.

    Support products approval process from compliance perspective, as necessary.

    To perform the role as Local Compliance Coordinator ("LCC") in GTFD NY.

    Deepen the "Compliance Culture" within GTFD in collaboration with other regions in GTFD as well as relevant depts in American Division

    Keep GTFD staff updated on the market trends and business environment related to compliance/AML. Conduct study session for the dept on a regular basis to ensure that GTFD members understand relevant internal rules correctly.

    Role Objectives: Interpersonal

  • Excellent communication and liaison skills, including proven effectiveness in working across teams.
  • Substantial experience of prioritizing workloads in order to meet strict deadlines.
  • Thinks flexibly and creatively to solve problems and is open to new approaches within their role.
  • Proactively suggests changes to improve current processes and operating procedures.

    • Self-motivated and trusted by other group members as someone who plays a key role in contributing to the delivery of the group's objectives.

  • Able to make decisions and not be swayed by pressure from business units/officers.

    • Role Objectives: Expertise

  • Expert knowledge of the range of compliance areas relevant to Trade Finance, including LATAM markets and developed markets and preferably across sectors that include commodity finance.
  • Deep knowledge of Compliance matters relating to the financial services sector.
  • Substantial experience in and high-level knowledge of trade finance, operations, compliance, regulations, products and
  • Internal management.
  • Reviews work carefully and thoroughly to ensure quality and meet deadlines.
  • Understand the need to report routinely and immediately escalate issues to management promptly.
  • Familiarity with the bank's systems & IT (e.g. Accord, EIC, GBR LIQ).

    • Qualifications and Skills

  • Recommended years of experience: 7
  • Likely to be educated to at least degree level (or equivalent) and likely to have some form of additional Compliance qualification.
  • Sumitomo Mitsui Banking Corporation – SMBC Group

    Business Control Officer

    3 days ago

    Sumitomo Mitsui Banking Corporation – SMBC Group New York, United States

    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 ...

  • Ocean Casino Resort

    Crowd Control Officer

    3 weeks ago

    Ocean Casino Resort Atlantic City, United States

    Job Description · Job DescriptionAbout the Role · The Crowd Control Officer enforces Company Security/Safety Regulations for Casino/Hotel/Dayclub and Nightclub. · Position Responsibilities · Stops all inappropriate behavior immediately in a professional manner. · Responsible for ...

  • Societe Generale

    Control Room- Compliance Officer

    3 days ago

    Societe Generale New York, United States

    Include, but are not limited to: · Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest. · Conduct training on the Firm's policies and procedures relating to Information Barriers. Monitor securities law and rel ...

  • State of New York

    Deputy Chief Financial Officer and Controller

    1 week ago

    State of New York New York, United States

    Please note: State agencies that contact job applicants do not usually request personal or financial information via text message or over the phone in connection with your response to a job posting. If you are contacted for such information by these methods, or any other method, ...

  • StateJobsNY

    Deputy Chief Financial Officer and Controller

    1 week ago

    StateJobsNY New York, United States

    MINIMUM REQUIREMENTS: · Education level required: Bachelor's Degree in Accounting or Business Administration; MBA or CPA preferred. · Experience required: Minimum ten years of progressively responsible professional government accounting experience, including supervisory and man ...

  • New York State

    Deputy Chief Financial Officer and Controller

    1 week ago

    New York State New York, United States

    Please note: · State agencies that contact job applicants do not usually request personal or financial information via text message or over the phone in connection with your response to a job posting. If you are contacted for such information by these methods, or any other metho ...

  • HYATT Hotels

    Front Office Lead/Control Room-Substitute

    5 days ago

    HYATT Hotels New York, United States

    At Hyatt, we believe our guests select Hyatt because of our caring and attentive associates who are focused on providing efficient service and meaningful experiences. Control Clerks are primarily responsible for room inventory to maximize selling opp Control Room, Substitute, Con ...

  • Barclays Plc

    VP, Control Room and Research Compliance Officer

    3 days ago

    Barclays Plc New York, United States

    VP, Control Room and Research Compliance Officer · New York, NY · Barclays Services Corp · What will you be doing? · Barclays Services Corp seeks VP, Control Room and Research Compliance Officer in New York, NY (multiple positions available): · * On behalf of a global financial o ...

  • HYATT Hotels

    Front Office Lead/Control Room-Substitute

    3 days ago

    HYATT Hotels New York, United States

    Summary: · At Hyatt, we believe our guests select Hyatt because of our caring and attentive associates who are focused on providing efficient service and meaningful experiences. · Control Clerks are primarily responsible for room inventory to maximize selling opportunities at th ...

  • Hyatt

    Front Office Lead/Control Room-Substitute

    4 days ago

    Hyatt New York, United States

    :At Hyatt, we believe our guests select Hyatt because of our caring and attentive associates who are focused on providing efficient service and meaningful experiences.Control Clerks are primarily responsible for room inventory to maximize selling opportunities at the Front Office ...

  • Hyatt

    Front Office Lead/Control Room-Substitute

    1 week ago

    Hyatt New York, United States

    Description: · At Hyatt, we believe our guests select Hyatt because of our caring and attentive associates who are focused on providing efficient service and meaningful experiences. · Control Clerks are primarily responsible for room inventory to maximize selling opportunities at ...

  • Citigroup

    VP, Business/Function Quality Control Officer

    3 weeks ago

    Citigroup New York, United States

    The VP, Business/Function Quality Control Officer is a strategic professional supporting the delivery of the Compliance Transformation plan though a review and challenge process within Independent Compliance Risk Management (ICRM). Business/Function Quality Control focuses on the ...

  • Hyatt Grand Central New York

    Front Office Lead/Control Room-Substitute

    4 days ago

    Hyatt Grand Central New York New York, United States

    At Hyatt, we believe our guests select Hyatt because of our caring and attentive associates who are focused on providing efficient service and meaningful experiences. · Control Clerks are primarily responsible for room inventory to maximize selling opportunities at the Front Off ...

  • Sumitomo Mitsui Banking Corporation

    Business Control Officer

    2 weeks ago

    Sumitomo Mitsui Banking Corporation New York, United States

    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 ...

  • Allied Universal

    Security Officer Access Control

    3 weeks ago

    Allied Universal Atlantic City, United States Paid Work

    Allied Universal, North America's leading security and facility services company, provides rewarding careers that give you a sense of purpose. While working in a dynamic, diverse and inclusive workplace, you will be part of a team that fuels a culture that will reflect in our com ...

  • Barclays

    Cash Equities Business Control Officer

    1 month ago

    Barclays New York, United States Full time

    Cash Equities Business Control Officer · New York, NY · As a Barclays Cash Equities Business Control Officer, you will be working with the Chief Controls Office and the business areas to help Senior Managers in delivering their accountabilities under the Individual Accountability ...

  • Citigroup Inc

    VP, Business Risk and Control Officer

    1 week ago

    Citigroup Inc New York, United States

    The VP, Business Risk and Control Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the bus ...

  • Barclays

    Cash Equities Business Control Officer

    1 week ago

    Barclays New York, United States

    **Cash Equities Business Control Officer** · **New York, NY** · As a Barclays Cash Equities Business Control Officer, you will be working with the Chief Controls Office and the business areas to help Senior Managers in delivering their accountabilities under the Individual Accoun ...

  • Johnson Security Bureau, Inc.

    Security Officer Access Control

    1 week ago

    Johnson Security Bureau, Inc. Long Island City, United States

    Johnson Security Bureau, Inc. is looking for professional Security Guards who have experience performing access control. · Location: Long Island City, New York · Post Type: Access Control · Work Type: Full-Time, Part-Time · Pay Rate: $18.00/hr · Experience: 2 years security e ...

  • DataAxxis

    Control Group Compliance Officer

    1 week ago

    DataAxxis Jersey City, United States

    **Position: Compliance Control Group Officer** · Contract Length: 4-months (military leave) · Pay Rate: 1099/C2C $650- $820 · Location: Hybrid/Manhattan or Jersey City Office · **Company Description**: · We are a global leading full-service investment banking and capital markets ...