Vice President Compliance

1 month ago

Jersey City, United States Sumitomo Mitsui Banking Corporation – SMBC Group Full time

Role Description


SMBC's Compliance Department Americas Division is seeking a Vice President of Banking (Americas Team) Compliance Monitoring and Testing. The Vice President is responsible for execution of the monitoring and testing program. This position will principally serve as a Team/Review Lead for monitoring and testing engagements. This role will also support the Annual Plan efforts with the Head of Americas Team and Head of M&T and work closely with the local teams in Brazil, Canada and Mexico and senior management in CPAD.

The Vice President will have direct management oversight of a small team of compliance professionals to support monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls. The candidate should have functional knowledge of applicable U.S. banking laws and regulations with specific emphasis on Canadian, Mexican and Brazil regulations. Additionally, a familiarity of the U.S. regulatory environment, risk identification / mitigation; and managing the workflows for monitoring and testing engagements is essential.


Role Objectives

  • Manages monitoring and testing activities for M&T Program for the Americas (Brazil, Canada and Mexico)
  • Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements.
  • Assists in the development and refinement of monitoring and testing scripts.
  • Prepares information requests, announcement memoranda and Kick-Off Memos to start Compliance Reviews
  • Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.
  • Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
  • Identifies underlying issues and escalation / validation thereof with clients.
  • Drafts exceptions logs, manages factual accuracy with stakeholders and oversees reporting for issuance to management.
  • Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts.
  • Involved with issue management function with remediation/challenge and closure of issues identified in monitoring and testing.
  • Stays abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework.
  • Participates in the annual risk assessment process of applicable laws and regulations to drive the Annual Plan for the M&T Program
  • Assists in the consolidation and reporting of results within local and Head Office reporting.
  • Performs Control Design Effectiveness analysis and review of the rules and regulations under review.


Qualifications and Skills

  • 10+ years of Banking and Compliance Experience
  • Bilingual in Spanish or Portuguese Preferred
  • Has strong managerial experience and manage and execute work along with the team as needed
  • Experience with covering multiple non-US jurisdictions and has general understanding of Brazilian, Canadian and Mexican laws and regulations.
  • Quick ability to learn and navigate challenging situations and juggle multiple tasks.
  • Able to manage independently and effectively and escalate to senior management.
  • CRCM Certification (A Plus)
  • Has a Compliance Testing, Bank Regulatory or Internal Audit Background
  • Able to work Independently on projects with little oversight.
  • Able to learn quickly and dissect complicated issues within a large and complex financial institution.
  • Solid understanding of the US Regulatory Framework and Alphabet Regulations including non-US jurisdictions requirements
  • Strong Communication and Written Skills
  • Able to multi-task and perform work functions efficiently and timely.
  • Motivated and action-oriented and self-starter
  • Adaptable and able to evolve and change with Bank Transformation

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