Regulatory Officer

2 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 $81,000.00 and $132,000.00. 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**:
The Regulatory Officer works with the Governance Regulatory Team within SMBC's Planning Department to assist with the execution of regulatory relations and exam management for SMBC.

**Role Objectives**:

- Notifies senior management and other relevant personnel of upcoming examinations and advises on scope, focus of exam and expectations.
- Reviews document requests and previews with examiners to narrow and define focus of discovery.
- Facilitates the collection of documents before, during, and after on-site examinations review and performs due diligence review to ensure the quality of the documentation before submission to the regulators.
- Coordinates responses to regulatory inquiries to contribute to effective reporting and communication.
- Schedules and attends meetings with regulators and firm employees to ensure regulatory needs are addressed; documents the content of meetings and timely communicates to senior management and relevant parties.
- Follows up related to examination findings, works with relevant business units to ensure remediation plan meets regulatory requirements and improves future examination results; inputs findings into SharePoint and addresses any findings.
- Tracks status of regulatory inquiries, exams, reviews and findings and circulates information in weekly status reports.
- Maintains all regulatory correspondence, transmittal letters, management responses, and remediation action in a central repository.
- Escalates to management and relevant business units on potential issues observed during or outside the exams and reviews to ensure that those may be properly addressed as soon as possible.
- Develops and updates regulatory procedures manual and user manual for regulatory SharePoint sites.
- Develops and maintains project tracking and reporting tools (through SharePoint, Excel, etc.) to facilitate effective and efficient management status reporting.
- Works closely with all regulatory and governance staff and assists with other GPDAD functions as needed.

**Qualifications and Skills**:

- Exam management and strong project management skills supporting exams and regulatory projects for the financial services industry.
- Understanding of financial markets and regulatory requirements for banking business.
- Attention to detail with ability to complete work accurately and in a timely manner against strict deadlines.
- Proficient in organizing and tracking progress on multiple tasks and projects with strong follow through and time management skills
- Excellent analytical, verbal and written communication skills.
- 5 to 7 years of specialized experience in Financial Services
- Financial services industry with 2+ years' experience within Compliance or Governance department in a foreign banking organizatio

  • Consumer Regulatory Compliance Officer

    3 days ago

    New York, United States ACG Resources Full time

    Job DescriptionJob DescriptionConsumer Regulatory Compliance Officer located onsite in Manhattan with a foreign bank Base salary $100-135K based on experience and skillsRequired Education and Experience: BA or BS required. A minimum of 5-7 years of experience in compliance management with a banking institution. 1. Knowledge of federal laws pertaining to...

  • VP Consumer Regulatory Compliance Officer

    2 weeks ago

    New York, United States ACG Resources Full time

    Job DescriptionJob DescriptionVP Consumer Regulatory Compliance Officer located onsite in Manhattan with a foreign bank Base salary $100-135K based on experience and skillsRequired Education and Experience: BA or BS required. A minimum of 5-7 years of experience in compliance management with a banking institution. 1. Knowledge of federal laws pertaining to...

  • Regulatory Manager

    6 days ago

    New York, United States Bubble Skincare Full time

    Reporting to: VP of Product Department: Product Full Time/Salaried Salary Range:$110-130K Location: This position is based in our New York City office, 3 days a week in the SOHO Office Position Overview: We are seeking a highly skilled and experienced Regulatory Manager to join our team. The Regulatory Manager will be responsible for ensuring compliance with...

  • Regulatory Affairs Manager

    6 days ago

    New York, United States Pragmatic Full time

    About Our Client: Our client revolutionizes patient care with cutting-edge hydrogel-based medical devices. Their commitment to self-funding projects, strategic partnerships, and innovative technology positions them as leaders in addressing unmet medical needs. With over ten spin-off companies and a $4B value, their impact has positively affected over 5...

  • VP Regulatory Affairs

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago

    New York, United States Discera Search Full time

    Lead the regulatory efforts for IND-enabling activities, including the preparation of the Investigational New Drug (IND) application for our groundbreaking oncology and CNS therapies targeted for submission this year and early next.Be the go for all things regulatory and acting as a key voice to the future of all trials, SOPs and strategy for these early...

  • VP Regulatory Affairs

    1 week ago

    New York, United States Discera Search Full time

    Lead the regulatory efforts for IND-enabling activities, including the preparation of the Investigational New Drug (IND) application for our groundbreaking oncology and CNS therapies targeted for submission this year and early next.Be the go for all things regulatory and acting as a key voice to the future of all trials, SOPs and strategy for these early...

  • VP Regulatory Affairs

    Found in: Appcast US C2 - 7 days ago

    New York, United States Discera Search Full time

    Lead the regulatory efforts for IND-enabling activities, including the preparation of the Investigational New Drug (IND) application for our groundbreaking oncology and CNS therapies targeted for submission this year and early next.Be the go for all things regulatory and acting as a key voice to the future of all trials, SOPs and strategy for these early...

  • Regulatory Affairs Manager I

    12 hours ago

    New York, United States AstraZeneca Full time

    Job Title: Regulatory Affairs Manager I Career Level - D Introduction to role: Join our dynamic Biopharmaceuticals R&D team as a Regulatory Affairs Manager I. This role is a unique opportunity for a regulatory specialist with project management capabilities to lead the end-to-end planning, coordination, and execution of assigned deliverables. You will be...

  • Director, Regulatory Supervision

    5 days ago

    New York, United States CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Director, Regulatory Affairs

    6 days ago

    New York, United States Scismic Inc Full time

    Job DescriptionJob DescriptionScismic is supporting the growth of a late-stage, publicly traded biopharmaceutical company developing targeted radiotherapies to deliver cancer-killing radiation with cellular level precision to treat patients with high unmet medical needs.  Their vision is to build a specialty, hospital-focused radiotherapeutics company that...

  • VP, Regulatory Affairs

    6 days ago

    New York, United States Scismic Inc Full time

    Job DescriptionJob DescriptionScismic is supporting the growth of a late-stage, publicly traded biopharmaceutical company developing targeted radiotherapies to deliver cancer-killing radiation with cellular level precision to treat patients with high unmet medical needs.  Their vision is to build a specialty, hospital-focused radiotherapeutics company that...

  • Director, Regulatory Supervision

    2 days ago

    New York, United States CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Regulatory Reporting Consultant

    1 week ago

    New York, United States Lenmar Consulting Inc Full time

    Title: Regulatory Reporting Consultant - CCARLocation: New York, NYRemote/Hybrid/Onsite: OnsitePosition Type: ContractDuration: 12 Months +Rate: $53/hr-$58/hrRole OverviewThe candidate will have regular interaction with various teams across the global Finance organization as the PMO for FR Y-14Q (CCAR) filings to strengthen and streamline the communication...

  • Technical Regulatory Business Analyst

    2 days ago

    New York, United States UrBench Full time

    Job DescriptionJob DescriptionTechnical Regulatory Business Analyst/Regulation 2052 A/Alteryx - Flagstar Bank - Hybrid/NYC - 1 year+ - $65 * We need: Two senior regulatory Business Analysts with in-depth experience supporting Regulation 2052 A projects in a Banking and loan environment. Candidate must have Proficiency in Alteryx and experience designing and...

  • Corporate Attorney

    7 days ago

    New York, United States Synergy Global Technologies Inc. Full time

    Job DescriptionJob DescriptionWe are looking for experienced attorney for insurance regulatory practice at Multiple locationRole: Corporate Attorney (Insurance Regulatory)Duration: Full timeFlexible Location: Chicago; Dallas; Detroit; Los Angeles; New York; Pittsburgh; Washington DC - THIS POSITION IS OPEN TO ALL OFFICE LOCATIONSexperienced attorney with...

  • Regulatory and Exam Management, Vp

    3 days ago

    New York, United States Citi Full time

    **Regulatory and Exam Management, VP - Hybrid** - The Operations & Technology (O&T) Chief Operating Office (COO) is a driving force in delivering value to our organization, our businesses, regulators, and stakeholders. With responsibility for Risk and Control, Quality Assurance, Transformation, and O&T Regulatory Management, the O&T COO enables the...

  • Senior Associate, Regulatory Reporting

    2 weeks ago

    New York, United States The Rockridge Group Full time

    Job DescriptionJob DescriptionJob Description:The role will be responsible for various operational requirements surrounding hedge fund regulatory compliance reporting. This includes, but is not limited to, SEC Form PF, CFTC Form CPO-PQR, EU Investment Fund Reporting (AIFMD) and OPERA reporting. The role will also include certain aspects of management...

  • Regulatory Compliance Analyst

    12 hours ago

    New York, United States The Jacobson Group Full time

    Job Description: A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

  • Regulatory Compliance Analyst

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago

    New York, United States The Jacobson Group Full time

    Job Description:A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

  • Regulatory Compliance Analyst

    1 week ago

    New York, United States The Jacobson Group Full time

    Job Description:A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...