Chief Compliance Officer

6 days ago

New York, New York, United States Sumitomo Mitsui Banking Corporation Full time
Job Title: Chief Compliance Officer

We are seeking a highly experienced and skilled Chief Compliance Officer to join our team at Sumitomo Mitsui Banking Corporation. As a key member of our organization, you will be responsible for leading our compliance program and ensuring that our activities are conducted in accordance with applicable regulatory requirements.

Key Responsibilities:
  • Develop and manage all components of the compliance program, including global policies, standards, processes, regulatory reporting, training, and maintenance of compliance manuals, policies, and procedures.
  • Engage with and advise senior management and staff on all issues concerning U.S. compliance rules, regulations, and procedures.
  • Develop and execute monitoring and testing of business activities to ensure compliance with regulations and internal policies and procedures.
  • Oversee the development and maintenance of trade compliance programs, policies, and automated systems, including for both personal trading and firm trading.
  • Serve as the primary contact with regulators during exams and inquiries, managing all regulatory exams.
  • Oversee the preparation and ongoing maintenance of all applicable regulatory registrations and filings (e.g. filing of Form ADV, etc.).
  • Liaise with external legal counselors to provide ongoing advice in relation to implications of legislation and regulations affecting U.S. business activities.
  • Liaise with and assist various non-U.S. affiliates from time to time on U.S. compliance matters with respect to their operations, or potential operations, in the U.S.
  • Maintain a thorough understanding of state and federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups.
Requirements:
  • Education: BA/BS degree (econ, CS, finance, or similar discipline preferred); MBA or JD preferred but not required.
  • Required Job Skills: Candidates must pass (a) Series 65, (b) Series 66 and Series 7 combined, or (c) possess one of the following professional designations: CFA, CFP, CIC, ChFC, PFS, to become CCO at a New York State registered investment advisor.
  • Experience: 15+ years of experience in risk, compliance, audit and/or relevant law with at least: 10+ years with a registered investment adviser, 5+ years of supervisory management experience, and 5+ years of experience within a subsidiary/non-U.S. parent, global operating model.
  • Direct experience managing regulatory exams (particularly SEC exams).
  • Fund compliance experience (public and private).
  • Strong working knowledge of the Investment Company Act of 1940 and registered funds.
  • Working knowledge of Resolver or a similar GRC or Compliance Workflow solution strongly preferred but not required.
  • Several years of successfully leading and managing engaged teams in fast-paced environments.
Additional Requirements:

Fostering a culture of diversity and inclusion is essential for our organization. As a Chief Compliance Officer, you will be responsible for holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

SMBC's employees participate in a hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.

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