Compliance Advisory Vice President

4 weeks ago

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

SMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, the Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a presence in nearly 40 countries and over 130 offices worldwide, SMBC Group has a significant global footprint.

In the Americas, SMBC Group has a strong presence, with operations in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers 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.

The primary focus of this role is on day-to-day advisory and monitoring, although roles also contribute to strategic planning within area of expertise. The Compliance Advisory Vice President reports directly to the Head of Private Side Compliance Advisory for SMBC Nikko Securities Inc.

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 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 interface with Internal Audit during compliance-related examinations/audits related to coverage area.
  • Assist the central Compliance team in researching and drafting responses to regulatory inquiries.
  • Advises business units on the maintenance of their policies and procedures, with a focus on the current compliance framework as a reference point.
  • Coordinate and collaborate with affiliates to address cross-border issues, reporting requests, and special projects.
  • Seek operational efficiencies and automation of processes to reduce the risk of manual processes.
  • Provide training to covered business units.
  • Contribute to various reporting requirements and other ad-hoc investigations.
  • Work closely with other supporting units to help create and maintain best practices across the Firm.
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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