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    Regulatory and Control Associate - New York, United States - SMBC

    SMBC
    SMBC New York, United States

    2 weeks ago

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    Description

    Job Title: Policy Governance Associate or Vice President at SMBC Capital Markets, Inc.

    SMBC Group is a top-tier global financial group with a 400-year history and headquarters in Tokyo. The Group offers a diverse range of financial services across nearly 40 countries and has over 80,000 employees worldwide. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group.

    About SMBC Capital Markets, Inc. (CM):

    • Established in 1986
    • Specializes in derivatives trading
    • Focus on interest rates and foreign exchange products
    • Offices in New York, London, and Hong Kong

    Role Description:

    The Policy Governance Associate or Vice President at CM will be part of the Regulatory and Control Group, responsible for managing regulatory and internal audit matters. The role involves collaborating with various departments, developing policy frameworks, and enhancing policy-related documents.

    Role Objectives:

    • Manage and enhance CM's policy governance framework
    • Collaborate with stakeholders to enhance existing policies
    • Develop and implement solutions for policy governance gaps
    • Communicate project status to senior management
    • Support in preparing policy related matters for management committees

    Qualifications and Skills:

    • Bachelor's degree required
    • 5+ years of experience in financial institutions, preferably in governance, risk, or compliance
    • 2+ years of policy governance and writing experience
    • Understanding of financial institutional structures and regulatory regimes
    • Strong communication, project management, and analytical skills
    • Experience with Microsoft applications and ability to learn new software
    • Coordination with auditors, regulators, and consultants preferred
    • Bilingual Japanese language skills a plus

    Join SMBC's workforce model that allows for both remote and office work. SMBC is an equal opportunity employer, providing reasonable accommodations for employees and applicants with disabilities.

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