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Lead Analyst for Culture and Conduct Management

2 months ago


Jersey City, New Jersey, United States SMBC Group Full time

The expected salary range for this position is between $208,000.00 and $240,000.00. The specific compensation offered will be determined based on the candidate's qualifications, experience, and an assessment of the current market for similar roles. This position may also qualify for an annual discretionary incentive award. In addition to monetary compensation, SMBC provides a comprehensive benefits package to its employees.

Position Overview

The Lead Analyst for Culture and Conduct Management will play a pivotal role in shaping and implementing the analytics strategy for conduct management within SMBC's Americas Division. This individual will collaborate with senior executives across Compliance, Legal, and Risk sectors, focusing on the prevention and detection of misconduct among our personnel while fostering SMBC's core values and expected conduct throughout the region. This role will report directly to the Head of Conduct Risk and Culture.

The Conduct and Culture Management Program encompasses the identification and assessment of conduct risks, oversight of sales practices, and cultural training initiatives relevant to SMBC's Americas Division. The position contributes to the development, monitoring, and reporting of Key Risk Indicators (KRIs) to senior leadership and the Board; generating insights and analytics to identify potential risks; tracking the implementation of preventive and detective controls; enhancing policies, procedures, and processes, including data governance; supporting risk assessments; creating training and communication materials; engaging in employee involvement initiatives; and providing guidance to business units and control functions.

Key Responsibilities

Spearhead the creation of insights and analytics to bolster the primary elements of our Conduct Management Program, focusing on areas such as Breach Management, risk identification, and oversight of Sales Practices initiatives. Assist in the development of metrics, analytics, and insights related to the execution and improvement of the Conduct Management and Culture Program. Engage in risk management activities, including risk identification, evaluation, monitoring, and mitigation tracking. Consolidate relevant data across the organization to extract analytics and insights aimed at enhancing the Conduct Management and Culture Program. Lead the analysis derived from the Conduct Management Program to guide subsequent actions, control improvements, or corrective measures as necessary. Participate in conduct risk reviews through various control processes, such as new product evaluations and risk and control self-assessments.

Required Qualifications and Skills

12-15 years of experience in the financial services sector, specifically within Compliance or risk management, with a profound understanding of key risks in the industry. A proactive leader passionate about utilizing data to derive insights and inform program enhancements. Proven experience in establishing and leading insights and analytics programs, including assessing current conditions, developing target operating models, and implementing processes to ensure efficient tracking and monitoring with a strong emphasis on data accuracy and completeness.