Fixed Income Compliance Officer

16 hours ago

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

Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1919. As a key player in the financial industry, SMBC offers a wide range of financial services, including banking, leasing, securities, credit cards, 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 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 Fixed Income Compliance Officer will play a critical role in ensuring that SMBC's fixed income activities are conducted in compliance with relevant regulatory requirements. This includes providing regulatory and compliance advice to business units, identifying and providing training on regulatory requirements, and conducting monitoring of 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
  • Identify and provide training on regulatory requirements for fixed income activities
  • Conduct monitoring of the broker dealer's public side sales and trading groups with a focus on all Fixed Income activities
  • Advise on regulatory and compliance requirements for fixed income activities
  • Monitor and provide updates on regulatory changes and support implementation of new/ 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 ongoing support as necessary for matters requiring escalation
  • Interface with regulators and Internal Audit during compliance-related examinations/audits related to coverage area
  • Research and draft responses to regulatory inquiries
  • Advise on the maintenance of internal policies and procedures with a focus on current compliance framework as reference point
  • Coordinate with affiliates to address cross-border issues, reporting requests, and special projects
  • Seek operational efficiencies and automation of processes to reduce 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 Global Advisory team and other legal entities in the Americas to lead a coordinated effort throughout the organization
  • Collaborate closely with Compliance team and other support units to help create and maintain best practice 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 in 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
Additional Requirements:
  • Diversity and Inclusion Commitment
  • Responsible for fostering 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. 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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