Conduct Management Officer

22 hours ago

Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time
About the Role

Sumitomo Mitsui Banking Corp is seeking a highly skilled Conduct Management Officer to join our team. As a Conduct Management Officer, you will play a critical role in assisting with the development and maintenance of a centralized regional control framework to mitigate conduct risk, advancing program initiatives, and providing advisory services.

Key Responsibilities
  • Support and facilitate the execution of Conduct Management program, including taking a leadership role in enhancing policies, procedures, processes, and controls.
  • Drive consistent implementation of Conduct Risk framework across the Americas Division.
  • Manage the conduct risk identification, development, monitoring, and analysis of program Key Risk Indicators (KRIs), metrics, and management reporting.
  • Participate in the management of Culture & Conduct-related communications and employee engagement initiatives and embedding strategy, in coordination with relevant stakeholders/process participants.
  • Contribute to governance initiatives.
  • Provide advice and guidance to stakeholders on matters involving conduct risk, consistently applying firm standards, and incorporating regulatory expectations and best practices.
  • Identify risks, issues, and escalate as appropriate.
  • Ensure timely remediation of control issues, such as actions resulting from internal audits or other testing programs.
  • Support timely execution of risk assessment exercises.
  • Monitor and track progress of completion for project deliverables.
Requirements
  • Experience in financial services in a Compliance or other risk and control function and understanding of key financial services issues.
  • Ability to deliver high-quality work product in a fast-paced environment.
  • Strong stakeholder management skills, including ability to build and maintain relationships with a wide range of key stakeholders across first- and second-line groups.
  • Expertise in Compliance program management, including but not limited to developing and drafting policies, procedures, communications, and training content and producing analytical management reporting.
  • Sound judgment with unwavering integrity and commercial acumen.
  • Ability to identify opportunities for enhancement to processes and program framework.
  • Strong written and verbal communication skills, analytical skills, and organizational skills.
  • Ability to work in a dynamic environment, and adjust to changing priorities.
Education and Experience
  • Years of comparable or relevant experience.
  • Must have financial services experience.
  • Required: BA/BS.
  • Preferred: MS/MBA/JD.
About Us

Sumitomo Mitsui Banking Corp is a top-tier global financial group with a 400-year history. We offer a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Our Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries.

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. We provide 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.

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