Regulatory Compliance Specialist

3 days ago


New York, New York, United States SMBC Full time
Job Title: Regulatory Compliance Analyst

At SMBC, we are seeking a highly skilled Regulatory Compliance Analyst to join our Transaction Management team. As a key member of our team, you will be responsible for ensuring the compliance of our transactions with regulatory requirements.

Key Responsibilities:
  • Assess and process goods under funding documentation in TradeStream, ensuring accurate and timely completion of regulatory compliance requirements.
  • Collaborate with Transaction Management and Marketing teams to process goods assessment manually prior to implementing TradeStream.
  • Process Firco online (sanction screening tool) for counterparties of transactions and record results, ensuring timely clearance of any negative hits.
  • Support the Transaction Management team in building a database for compliance-related assessment records.
Requirements:
  • Minimum 2 years of experience in regulatory compliance.
  • Strong analytical thinking, attention to detail, effective communication, and technology proficiency.
  • Commitment to continuous learning and professional development.

We offer a dynamic and supportive work environment, opportunities for growth and development, and a competitive compensation package. If you are a motivated and detail-oriented individual with a passion for regulatory compliance, we encourage you to apply for this exciting opportunity.



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