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Fixed Income Regulatory Compliance Specialist

2 months ago

New York, New York, United States Sumitomo Mitsui Financial Group, Inc. Full time
Company Overview

Sumitomo Mitsui Financial Group, Inc. (SMFG) is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, SMFG operates a diverse array of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a workforce of over 80,000 employees across nearly 40 countries, SMFG is recognized as one of Japan's three largest banking groups, with shares traded on major stock exchanges.

Role Overview

The Advisory Compliance team plays a crucial role in providing regulatory guidance and oversight for the broker-dealer's compliance risks. The Chief Compliance Officer represents this team in various committees, including New Product, Underwriting, Risk Management, Compliance, and Training.

The Fixed Income Compliance Officer will operate with a significant degree of autonomy, serving as a subject matter expert and a reliable resource both internally and externally. This role involves developing and implementing business plans, policies, and procedures while overseeing projects aimed at enhancing operational efficiencies.

Key Responsibilities
  • Deliver regulatory and compliance advice to business units, focusing on Fixed Income activities, including Primary Dealer and fixed income futures.
  • Guide business unit management and staff on regulatory compliance to ensure adherence to applicable laws.
  • Advise on the establishment of a robust supervisory system, including the creation and updating of written supervisory procedures.
  • Monitor regulatory changes and support the implementation of new or amended requirements.
  • Conduct regular meetings with management to identify emerging business issues and discuss relevant regulatory requirements.
  • Collaborate with Compliance, Legal, and control functions to enhance the overall Compliance program.
  • Escalate significant regulatory concerns to management and provide ongoing support as needed.
  • Engage with regulators and Internal Audit during compliance examinations and audits.
  • Research and draft responses to regulatory inquiries.
  • Maintain internal policies and procedures aligned with the current compliance framework.
  • Coordinate with affiliates to address cross-border issues and special projects.
  • Seek operational efficiencies and automate processes to mitigate manual risks.
  • Develop and deliver compliance training, including drafting training materials.
  • Contribute to various reporting requirements and ad hoc investigations.
  • Work with the Global Advisory team and other legal entities to ensure a coordinated approach.
  • Collaborate with the Compliance team and other support units to establish best practices across the organization.
  • Participate in the Compliance risk assessment process.
Qualifications
  • Extensive experience in Compliance Advisory within a broker-dealer environment, particularly in fixed income.
  • Strong understanding of US securities laws, regulations, and broker-dealer operations related to fixed income.
  • Familiarity with products and services, including U.S. Treasury Securities, Repo, Corporate Bonds, and associated derivatives.
  • Experience interacting with U.S. financial regulators.
  • Excellent communication skills, particularly in conveying complex technical information.
  • Ability to manage multiple projects and build consensus among diverse stakeholders.
  • Strong organizational skills with a focus on prioritization and project management.
  • Detail-oriented with a commitment to follow through on issues until resolution.
  • 10+ years of regulatory compliance experience at a broker-dealer; BA/BS required. Series 7, 24, 79 certifications are advantageous.
Diversity and Inclusion Commitment

SMFG is dedicated to fostering a culture of diversity and inclusion, holding leaders accountable for creating an equitable environment through the recruitment, development, and promotion of diverse talent.

SMFG operates a hybrid workforce model, allowing employees to work from home and from the office, with a requirement to reside within a reasonable commuting distance to their office location.

We are an equal opportunity employer, and 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.