Senior Compliance Officer
19 hours ago
Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. As a Senior Compliance Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong risk management culture.
Key Responsibilities:- Provide regulatory and compliance advice to business units, identifying and addressing potential risks and ensuring compliance with relevant laws and regulations.
- Develop and implement effective compliance policies and procedures, ensuring they are up-to-date and aligned with regulatory requirements.
- Conduct regular monitoring and audits to ensure compliance with regulatory requirements and identify areas for improvement.
- Collaborate with internal stakeholders, including Compliance, Legal, and Control functions, to enhance the overall Compliance program.
- Escalate regulatory concerns and other significant matters to senior management.
- 10+ years of regulatory compliance experience at a broker dealer, with a strong understanding of US securities laws, rules, and regulations.
- Ability to communicate complex regulatory concepts to non-technical stakeholders.
- Strong analytical and problem-solving skills, with the ability to manage multiple assignments and build consensus among stakeholders.
- BA/BS required, with a Series 7, 24, and 79 license a plus.
- A competitive salary range of $222,000.00 to $285,000.00, based on individual qualifications and experience.
- An annual discretionary incentive award.
- A comprehensive portfolio of benefits, including health insurance, retirement plans, and paid time off.
SMBC is an equal employment opportunity employer, committed to fostering a culture of diversity and inclusion. We welcome applications from qualified candidates who share our values and are passionate about making a difference in the financial industry.
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Senior Compliance Officer
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