Regulatory Reporting Associate

1 week ago

Jersey City, United States Sumitomo Mitsui Banking Corporation Full time

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.

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 $78,000.00 and $124,000.00. 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**:
SMBC is seeking a self -motivated and diligent professional for the associate position within the Controllers - Regulatory Reporting Analysis Group. The primary responsibility and role will entail the maintenance and report preparation of Nikko SI regulatory reports. This will mainly involve the preparation and report submission of FOCUS, Supplemental Inventory Schedule, SSOI, OBS, TIC B, SIPC 6, SIPC 7 & FR2004 regulatory reports.

**Responsibilities**:

- Assist in the preparation of the quarterly regulatory reports
- Perform and own the daily calculations required for the population of the balances reported in the Broker Dealer.
- Assist in maintaining proper controls and documentation associated with regulatory reporting
- Perform reconciliation of reported balances against the general ledger, across products, other regulatory reports and schedules.
- Participate in regulatory examinations, internal and external audits
- Assist in the automation of SMBC Nikko related regulatory reports into Axiom.
- Assist in defining business requirements for report enhancements and its documentation

**Qualifications and Skills**:

- Bachelor’s Degree in Accounting or Finance
- Minimum of 1 to 2 years in related professional experience in regulatory reporting
- Familiar with US GAAP and regulatory reporting concepts and practices
- Experience with financial database query tools (SQL, Business Objects, Alteryx)
- Proficient with MS Excel & MS Access
- Familiar with regulatory reporting tools and systems such as AxiomSL, Reg Reporter or Agile Reporter
- Familiarity with financial products (e.g. derivatives, securities, loan, repo etc.)
- Good analytical, organizational and communication skills

**Additional Requirements**:

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