Director of Compliance Technology
1 month ago
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.
The anticipated salary range for this role is between $180,000.00 and $237,000.00. 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.
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.
**Role Description**:
SMBC is in the process of leading a Digital Transformation across our Americas Division as we continue to modernize our technology, focus on our data driven approach, grow and plan for the future.
As a result of this expansion, we are seeking an experienced Technology Manager to build and lead our Compliance Technology initiatives. In this position you will have an opportunity to run several projects, working with stakeholders to understand requirements, data sources, and priorities. You will help shape and deliver the strategic vision for your organization and the system architecture.
**Role Objectives**:
- Manage development and integration of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer (Securities) buinsesses.
- Coordinate and manage a portfolio of projects and activities, providing transparency of progress against the strategic roadmap
- Lead projects from initial discovery phase through to final implementation, ensuring responsibilities are clear and milestones are being met according to plan.
- Support of program and business strategies and objectives: resource and demand planning, change and resource management processes
- Coordination and management of key senior meetings to present updates, emerging risks and manage action items
- Develop and execute on proofs of concept on initiatives that address Compliance project goals.
- Create information flow among Project team members and stakeholders across legal entities
**Qualifications and Skills**:
- 10+ years of professional experience at large banks with a focus on Compliance technology.
- 7+ years of professional experience with a focus in portfolio, program and/or change management.
- Subject matter expertise in Compliance technology including Transaction Monitoring, KYC, Trade and Communications surveillance, Fraud, Employee Trading, and/or Sanctions Screening
- Experience with systems and processes to comply with industry regulators (e.g. NFA, CFTC, FINRA, Fed)
- Knowledge of Agile development management using tools such as Jira, Confluence and git
- Ability to establish a new system; carry out planning, design and implementation in an agile fast moving environment and see through it as a matured production system.
- Ability of manage a team of developers and vendors on delivery the system solution
- Experiences on building connectivity and interfaces between various system solution.
- Highly developed sense of accountability and follow-through with an ability to effectively prioritize multiple tasks, projects and goals
- Ability to understand complex and highly technical concepts, and ability to easily explain/translate them to peers
- Experience managing 3rd party vendors on licensing and professional services for the implementation of new platforms
- BA/BS degree required
- Excellent verbal and written communication skills
**Additional Requirements**:
D&I Commitment
Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and pro
-
US Head Of Compliance
2 weeks ago
White Plains, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a "US Head Of Compliance" to join their team. They are currently in office (2-3 days a week). Responsibilities: • Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA...
-
US Head Of Compliance
2 months ago
White Plains, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a "US Head Of Compliance" to join their team. They are currently in office (2-3 days a week). Responsibilities:• Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA...
-
US Head Of Compliance
3 weeks ago
White Plains, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a "US Head Of Compliance" to join their team. They are currently in office (2-3 days a week). Responsibilities: Responsible for administering, maintaining, coordinating and monitoring the Banks day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA Patriot...
-
US Head Of Compliance
2 months ago
White Plains, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a "US Head Of Compliance" to join their team. They are currently in office (2-3 days a week). Responsibilities:• Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA...
-
US Head Of Compliance
4 weeks ago
White Plains, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a 'US Head Of Compliance' to join their team. They are currently in office (2-3 days a week). Responsibilities: Responsible for administering, maintaining, coordinating and monitoring the Banks day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA Patriot...
-
US Head Of Compliance
2 weeks ago
White Plains, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a "US Head Of Compliance" to join their team. They are currently in office (2-3 days a week).Responsibilities:• Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA...
-
Finance and Operations Manager
3 days ago
White Plains, United States Cloudbreak Compliance Group LLC Full timeAbout Cloudbreak Compliance Group, LLC Cloudbreak Compliance Group, a leading compliance consulting firm for investment advisers, is seeking to add a full-time Finance and Operations Manager to its team. The person will be tasked with managing and overseeing all financial and operational duties within the company and will report directly to Cloudbreaks...
-
Tax Director
1 month ago
White Plains, United States UCare Staffing, LLC Full timeJob Description Job Description JOB TITLE: Tax Director OFFICE LOCATION: White Plains, NY PLEASE NOTE: All interviews are kept confidential. SUMMARY/OBJECTIVE Our client, an outstanding and reputable Private Legal & Accounting Firm is seeking a tax leader. This candidate will be responsible for the firm’s tax compliance, tax planning and accounting for...
-
Finance and Operations Manager
2 weeks ago
White Plains, United States Cloudbreak Compliance Group, LLC Full timeAbout Cloudbreak Compliance Group, LLCCloudbreak Compliance Group, a leading compliance consulting firm for investment advisers, is seeking to add a full-time Finance and Operations Manager to its team. The person will be tasked with managing and overseeing all financial and operational duties within the company and will report directly to Cloudbreak’s...
-
Finance and Operations Manager
4 weeks ago
White Plains, United States Cloudbreak Compliance Group, LLC Full timeAbout Cloudbreak Compliance Group, LLCCloudbreak Compliance Group, a leading compliance consulting firm for investment advisers, is seeking to add a full-time Finance and Operations Manager to its team. The person will be tasked with managing and overseeing all financial and operational duties within the company and will report directly to Cloudbreak’s...
-
Finance and Operations Manager
4 weeks ago
White Plains, United States Cloudbreak Compliance Group, LLC Full timeAbout Cloudbreak Compliance Group, LLCCloudbreak Compliance Group, a leading compliance consulting firm for investment advisers, is seeking to add a full-time Finance and Operations Manager to its team. The person will be tasked with managing and overseeing all financial and operational duties within the company and will report directly to Cloudbreak’s...
-
Director of HR
1 week ago
White Plains, United States Creative Financial Staffing Full timeDirector of Human Resources CFS has partnered with an Independent day school who is currently seeking a Director of Human Resources to oversee HR functions across its three campuses. Reporting to the Chief Financial Officer, this role is responsible for executing and overseeing various HR functions including hiring, compensation, benefits administration,...
-
Tax Director
2 weeks ago
White Plains, United States UCare Staffing, LLC Full timeJOB TITLE: Tax Director OFFICE LOCATION: White Plains, NY PLEASE NOTE: All interviews are kept confidential. SUMMARY/OBJECTIVE Our client, an outstanding and reputable Private Legal & Accounting Firm is seeking a tax leader. This candidate will be responsible for the firm’s tax compliance, tax planning and accounting for income taxes. This is an...
-
Tax Director
2 months ago
White Plains, United States UCare Staffing, LLC Full timeJob DescriptionJob DescriptionJOB TITLE: Tax DirectorOFFICE LOCATION: White Plains, NYPLEASE NOTE: All interviews are kept confidential. SUMMARY/OBJECTIVEOur client, an outstanding and reputable Private Legal & Accounting Firm is seeking a tax leader. This candidate will be responsible for the firm’s tax compliance, tax planning and accounting for...
-
Director of HR
3 weeks ago
White Plains, United States Creative Financial Staffing Full timeDirector of Human Resources CFS has partnered with an Independent day school who is currently seeking a Director of Human Resources to oversee HR functions across its three campuses. Reporting to the Chief Financial Officer, this role is responsible for executing and overseeing various HR functions including hiring, compensation, benefits administration,...
-
Director of HR
4 days ago
White Plains, United States Creative Financial Staffing Full timeDirector of Human Resources CFS has partnered with an Independent day school who is currently seeking a Director of Human Resources to oversee HR functions across its three campuses. Reporting to the Chief Financial Officer, this role is responsible for executing and overseeing various HR functions including hiring, compensation, benefits administration,...
-
US Head Of Compliance
3 days ago
White Plains, NY, United States Madison-Davis, LLC Full timeA mid-size international commercial bank in White Plains, New York looking to bring on board a "US Head Of Compliance" to join their team. They are currently in office (2-3 days a week). Responsibilities: • Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA...
-
Director of AR/AP
2 weeks ago
White Plains, United States ConsultNet Technology Services and Solutions Full timeContract to Hire** 4-5 Days onsite - White Plains, NYOur client is looking for a passionate, growth-oriented team player to join their growing team!The Director of Accounts Payable (AP) & Accounts Receivable (AR) will contribute to the company's success by driving compliant, accurate, timely and consistent processes allowing for efficient, and accurate cash...
-
Director of AR/AP
2 weeks ago
White Plains, United States ConsultNet Technology Services and Solutions Full timeContract to Hire** 4-5 Days onsite - White Plains, NYOur client is looking for a passionate, growth-oriented team player to join their growing team!The Director of Accounts Payable (AP) & Accounts Receivable (AR) will contribute to the company's success by driving compliant, accurate, timely and consistent processes allowing for efficient, and accurate cash...
-
Senior Auditor
1 month ago
White Plains, United States LanceSoft Full timeJob Title: Senior Auditor - Technology Location: White Plains, NY Type of position: Direct Hire | Permanent Summary: Conduct internal audit activities within the organization, including providing independent, objective assurance and consulting activity designed to add value and improve the organization's operations. Internal audit is intended to assist the...
