Business Control Officer
3 weeks 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.
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 $113,000.00 and $165,000.00. 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**:
- Manage the compliance and operational risk associated with the daily execution of trade finance business in conjunction with GTFD management, BCO of coverage, and Corporate Compliance-Advisory group in Compliance Department (CPAD).
- Control/minimize various compliance risks arising out of daily execution of trade finance business including but not limited to Sanction/AML Risk, Third Party Risk (e.g. System Vender Risk), Operational Risks, Code of Conduct Risks and Fraudulent Risk
- Ensure the compliance with the policies & procedures of the bank as well as GTFD in terms of the above mentioned various risks.
**Role Objectives: Delivery**:
Manage Sanction & AML risk matters related to the daily execution of trade finance deals booked in NY Branch and escalate any issues to to GTFD management and BCO of coverage, and Corporate Compliance-Advisory group in Compliance Department (CPAD)in a timely manner.
- Manage the Third Party Risk (e.g. System Venders) in collaboration with product teams.
Oversee the code of conduct risks as well as understand and manage requirements around cross border transactions in new jurisdictionsand provide necessary guidance to the relevant teams in GTFD with Corporate Compliance-Advisory group in Compliance Department (CPAD)
- Work with BCDAD Fraud operations to understand overseas activities in order for fraud operations to develop fraud scenarios for this line of work Oversee the potential fraudulent risk which may arise out of daily operation and propose adequate countermeasures.
- Work with relevant teams in GTFD (e.g. Planning, Transaction Management etc. ) as well as key stakeholders in the bank (e.g. CPAD). Work with transaction management to ensure new process requirements relating to business expansion are understood and supportabledevise and implement a “Compliance Risk Framework”.
Help marketing officers promote and develop Trade Finance Business by providing necessary advices (e.g. structure, risk mitigation method, identification of financial crime risk etc..) to manage various compliance risks arising out of the existing business as well as the new business which the dept is looking to implement.
Support products approval process from compliance perspective, as necessary.
To perform the role as Local Compliance Coordinator (“LCC”) in GTFD NY.
Deepen the “Compliance Culture” within GTFD in collaboration with other regions in GTFD as well as relevant depts in American Division
Keep GTFD staff updated on the market trends and business environment related to compliance/AML. Conduct study session for the dept on a regular basis to ensure that GTFD members understand relevant internal rules correctly.
**Role Objectives: Interpersonal**:
- Excellent communication and liaison skills, including proven effectiveness in working across teams.
- Substantial experience of prioritizing workloads in order to meet strict deadlines.
- Thinks flexibly and creatively to solve problems and is open to new approaches within their role.
- Proactively suggests changes to improve current processes and operating procedures.
Self-motivated and trusted by other group members
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