Regulatory Compliance Specialist, Transaction Management Contract

4 weeks ago


New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

As a Regulatory Compliance Analyst at Sumitomo Mitsui Banking Corporation, you will play a crucial role in ensuring the organization's compliance with regulatory requirements for GTFD related transactions. Working closely with the Transaction Management group, you will collaborate with various officers to identify and mitigate potential risks.

Key Responsibilities:
  • Identify goods under funding documentation and process them in the TradeStream system, storing files in SharePoint and obtaining clearance for high-risk goods.
  • Assist the Transaction Management and Marketing teams in processing goods assessment manually prior to implementing TradeStream, monitoring applications and providing feedback on potential risks.
  • Process Firco online for counterparties, record results, and request clearance for negative hits.
  • Support the Transaction Management team in building a database for compliance-related assessment records.
Requirements:
  • At least 2 years of experience in regulatory compliance.
  • Strong analytical skills, attention to detail, effective communication, technology proficiency, and commitment to continuous learning.


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