Regulatory and Control Associate
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 $79,000.00 and $125,000.00. 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 Capital Markets, Inc. (CM) is a derivatives trading company which was established in 1986 and is based in New York, with offices in London and Hong Kong. CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and foreign exchange products such as interest & FX swaps, FRAs, options, exotic products, commodity derivatives as well as exchange traded products such as treasury bonds, interest rate futures & options, currency futures, treasury futures & options, etc.
The role will report to CM’s Head of Regulatory and Control, and will involve significant communication and collaboration with senior management and staff.
**Role Objectives**:
- Manage and enhance CM's policy governance framework to develop/write, review, approve, publish, communicate, retire and maintain policy related documents, which include policies, standards and procedures, and maintain an up-to-date listing of such documents
- Support CM's stakeholders to enhance existing policy related documents
- Write CM's policy related documents ensuring effectiveness, consistency and adherence to internal and external (market and regulatory) standards
- Maintain awareness of market best practices and regulatory requirements for financial institutions, particularly swap dealers, on policy related matters
- Develop, coordinate and implement solutions that remediate policy governance gaps caused by changes to business and regulatory requirements
- Communicate the status of projects, initiatives and deliverables of policy related matters to senior management and relevant stakeholders
- Respond to policy related requests from stakeholders, which include auditors and regulators
- Support CM's Head of Regulatory and Control in policy related matters to be raised to the board of directors and various management committees (e.g., preparation of meeting materials and arrangement of management briefings for reporting, approval or adoption)
- Work with and supervise outside consultants on policy related matters as necessary
- Provide support on other CM Regulatory and Control related matters as required, including support on regulatory and control initiatives/projects
**Qualifications and Skills**:
- Bachelor’s degree required
- 5 years or more of work experience in a financial institution or bank, preferably in governance, risk and/or compliance
- 2 years or more of policy governance (policies and procedures administration) and policy writing experience
- Work experience in a Japanese financial institution will be a plus
- Understanding of organizational structures of financial institutions, particularly swap dealers and banks
- Understanding of Dodd-Frank Act, cross-border derivatives regulation and other important regulatory regimes
- Excellent relationship building and project management skills
- Proven track record of formulating a vision and following through with its sound execution
- Ability to manage multiple responsibilities and deadlines with limited supervision
- Strong analytical skills, sound judgement capabilities, and the ability to assess complex proposals
- Experience coordinatin
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