Director, Compliance Issues Management Officer

3 weeks ago

New York, 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 $161,000.00 and $231,000.00. 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**:
This role will manage and oversee all Compliance-related issues (i.e., Internal Audit, Compliance, self-identified and Regulatory), as well as oversee the execution of the Americas Division’s (“AD”) Complaints Management Framework. This key role within the Compliance Department will be responsible for ensuring that Compliance-related issues are timely and accurately inputted, reported, and - with the close collaboration with Issue owners - closed.

This role will report into the Head of Compliance Reporting, Risk & Controls and manage a small team of 2-3 people.

**Responsibilities**:

- In partnership with relevant stakeholders, ensure internal procedures for the governance of issues management, ensuring that all relevant Compliance issues are tracked in appropriate systems of record.
- Ensure ongoing tracking and completion of compliance-related issues and resolution, including review of action plans to remediate issues and provide oversight of Quality Assurance review process.
- Assist CPAD issue owners/managers through the formal issue closure request process, facilitating communication with IAD validators and following up on open items for timely completion and when not possible assess alternative options available (e.g., extension request, re-target items, risk acceptance, etc.).
- Maintain an internal reporting routine in accordance with policies and procedures, ensuring all relevant information is being captured accurately and is understandable to broader audiences. Key reporting audience are Compliance Vertical Heads, Compliance Governance Forums (i.e., RCWG, CRC, etc) Compliance Management and Head Office.
- Ensure proper execution of the Complaints Management Framework, including appropriate reporting of complaints from across the AD.
- Manage the registration/validation of management self-identified issues (MSII) within the ADIT, assessing and recommending issue severity to drive expectations on resolution activities and timeliness.
- Provide end-user support and training/guidance to CPAD and other compliance users, supporting additional oversight and 2LoD challenging routines required by policy.
- Serve as the Audit Liaison for Compliance cover a number of topics including but not limited to: conducting monthly Compliance/IAD touch points; participating in all Compliance related Audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to management.
- Ad-Hoc Special Projects as assigned by Compliance Management.

**Qualifications and Skills**:

- 10+ years of specialized experience with a deep functional knowledge of the Banking industry and applicable rules, regulations, and processes. Foreign bank experience and Audit is a plus.
- 10+ years of direct, relevant experience in financial service operations, control, compliance, audit, and/or regulatory management, including familiarity with regulatory examinations.
- Superior organizational skills, with proven ability to successfully manage multiple, concurrent priorities and adapt as necessary.
- Demonstrated relationship management skills with ability to deepen relationships and build par

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