Fixed Income Compliance Officer

2 weeks ago

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

Join Sumitomo Mitsui Banking Corporation as a Fixed Income Compliance Officer and play a critical role in ensuring the company's compliance with regulatory requirements in the fixed income market.

Job Summary

The Fixed Income Compliance Officer will be responsible for providing regulatory and compliance advice to business units, identifying and providing training on regulatory requirements, and monitoring the broker dealer's public side sales and trading groups with a focus on all Fixed Income activities.

Key Responsibilities
  • Provide regulatory and compliance advice to business units on fixed income activities, including Primary Dealer and fixed income futures activity.
  • Identify and provide training on regulatory requirements to business unit management and staff.
  • Monitor and provide updates on regulatory changes and support the implementation of new or amended regulatory requirements.
  • Conduct monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
  • Proactively engage with Compliance, Legal, and control function colleagues to enhance the overall Compliance program.
  • Escalate regulatory concerns and other significant matters to their manager and provide ongoing support as necessary.
  • Interface with regulators and Internal Audit during compliance-related examinations/audits related to the coverage area.
  • Research and draft responses to regulatory inquiries.
  • Advise on the maintenance of internal policies and procedures with a focus on the current compliance framework as a reference point.
  • Coordinate 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.
  • Create and deliver compliance training by drafting appropriate training materials and conducting trainings.
  • Lead/contribute to various reporting requirements and other ad-hoc investigations.
  • Work with the Global Advisory team and other legal entities in the Americas to lead a coordinated effort throughout the organization.
  • Collaborate closely with the Compliance team and other support units to help create and maintain best practices across the Firm.
  • Play a key role in the Compliance risk assessment exercise.
Requirements
  • Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.
  • Strong knowledge of US securities laws, rules, and regulations and broker dealer fixed income operations, including TRACE reporting, Primary Dealer, and fixed income futures activity.
  • Understanding of the products, services, and business of Nikko and affiliates, such as U.S. Treasury Securities, Repo, Corporate Bonds, and Securitized Products, as well as associated derivatives and futures.
  • Experience dealing with U.S. financial regulators, including the Federal Reserve, SEC/FINRA, and CFTC/NFA.
  • Excellent written and oral communication skills, particularly with respect to communicating technical subject matter.
  • Ability to manage multiple assignments and build consensus among stakeholders.
  • Must be well-organized with prioritization and project management skills on a global scale.
  • Attention to detail and discipline to follow up on issues until resolved.
  • 10+ years of regulatory compliance experience at a broker dealer. BA/BS required. Series 7, 24, 79 a plus.
Additional Requirements
  • Foster 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. 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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