Senior Compliance Officer

2 weeks ago

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

Join Sumitomo Mitsui Banking Corporation as a Senior Compliance Officer and play a critical role in ensuring the company's compliance with regulatory requirements. As a key member of the Advisory Compliance team, you will provide regulatory and compliance advice to business units, identify and provide training, and conduct monitoring of the broker dealer's public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer.

Key Responsibilities:
  • Provide regulatory and compliance advice to business units to ensure compliance with regulatory requirements.
  • Identify and provide training to business units on regulatory and compliance requirements.
  • Conduct monitoring of the broker dealer's public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer.
  • Advises and provides regulatory guidance on establishing a reasonably designed supervisory system, including creating and updating written supervisory procedures.
  • Conducts monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
  • Proactively engages with Compliance, Legal, and control function colleagues to enhance the overall Compliance program.
  • Escalates regulatory concerns and other significant matters to their manager.
  • Interfaces with regulators and Internal Audit during compliance-related examinations/audits related to coverage area.
  • Researches and drafts responses to regulatory inquiries.
  • Advises business units on the maintenance of their policies and procedures with a focus on current compliance framework as a reference point.
  • Coordinates and co-works with affiliates to address cross-border issues, reporting requests, and special projects.
  • Seeks operational efficiencies and automation of processes to reduce the risk of manual processes.
  • Provides training to covered business units.
  • Drafts and updates existing policies and procedures.
  • Leads/contributes to various reporting requirements and other ad-hoc investigations.
Requirements:
  • Extensive Compliance Advisory experience at a broker dealer.
  • Strong knowledge in US securities laws, rules, and regulations and broker dealer operations including Primary Dealer.
  • Ability to communicate this knowledge and applicability to Nikko and affiliate operations.
  • Understanding of the products, services, and business of Nikko and affiliates.
  • Ability to manage multiple assignments and build consensus among stakeholders' communication skills among other attributes.
  • Must be well organized with prioritization and project management skills on a global scale.
  • Ability to translate technical subject matter and convey it in easily understandable components for clients.
  • Attention to detail and discipline to follow up on issues until resolved.
  • Ability to manage multiple assignments and build consensus among stakeholders communication skills among other attributes.
  • Attention to detail and discipline to follow up on issues until resolved.
  • Must be well organized with project management skills.
  • 10+ years of regulatory compliance experience at a broker dealer. BA/BS required. Series 7, 24, 79 a plus.
Additional Requirements:
  • Fostering a culture of diversity and inclusion, 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.

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.

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