Compliance Advisory Vice President

6 days ago

New York, New York, United States Sumitomo Mitsui Banking Corporation Full time
Compliance Advisory Vice President

Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including corporate and investment banking, securities, and consumer finance. With over 130 offices and 80,000 employees worldwide, SMBC has a significant presence in nearly 40 countries.

In the Americas, SMBC has a strong presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Leveraging the capital strength of SMBC and the value of its relationships in Asia, the Group provides 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 Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk. The Compliance Advisory Vice President role assists in managing a coverage area or process under the oversight of a more senior team member and may cover an area or process with a large amount of independence.

Key Responsibilities
  • Provide regulatory and compliance advice to business unit staff to ensure conformance with regulatory requirements.
  • Advises and provides regulatory guidance on establishing a reasonably designed supervisory system, including creating and updating written supervisory procedures.
  • Participate in and may conduct monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
  • Support interactions with regulators and interfaces with Internal Audit during compliance-related examinations/audits related to coverage area.
  • Assist central Compliance team in researching and drafting responses to regulatory inquiries.
  • Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point.
  • Coordinates and collaborates with affiliates to address cross-border issues, reporting requests, and special projects.
  • Seeks operational efficiencies and automation of processes to reduce risk of manual processes.
  • Provides training to covered business units.
  • Contributes to various reporting requirements and other ad-hoc investigations.
Requirements
  • 7-10+ years of regulatory and/or advisory compliance experience at a broker-dealer.
  • A solid foundation in US securities laws and regulations and broker-dealer operations.
  • Ability to communicate this knowledge and applicability to SMBC Nikko Securities affiliate operations.
  • Understanding of the products, services, and business of SMBC Nikko Securities affiliates.
  • Ability to manage multiple assignments and build consensus among stakeholders.
  • 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.
  • Must be well-organized with project management skills.
  • BA/BS required. Series 7, 24, 79 a plus.

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.

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