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Compliance Officer

2 months ago

New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

About Sumitomo Mitsui Banking Corporation (SMBC)
SMBC Group is a premier global financial institution with a rich history spanning over 400 years.
With its headquarters in Tokyo, SMBC Group provides a comprehensive suite of financial services, including banking, leasing, securities, credit cards, and consumer finance.

With a presence in nearly 40 countries and a workforce of over 80,000 employees, SMBC Group is one of Japan's leading banking entities.
As the holding company, Sumitomo Mitsui Financial Group, Inc. (SMFG) oversees the operations of SMBC Group, which is recognized as one of the top three banking groups in Japan.

Role Overview
The Advisory Compliance team plays a crucial role in regulatory advisory functions, focusing on the management of compliance risks associated with broker-dealer operations. The Chief Compliance Officer represents the team in various committees, including New Product, Underwriting, Risk Management, Compliance, and Training.

The Senior Compliance Officer will have significant autonomy in managing specific coverage areas or processes.
These professionals are regarded as subject matter experts and are recognized both internally and externally for their expertise.

Key Responsibilities
- Provide regulatory and compliance guidance to business units, ensuring adherence to compliance requirements.
- Conduct training and monitoring of the broker-dealer's public side sales and trading groups, with a focus on Fixed Income activities.
- Advise on the establishment of a robust supervisory system and assist in updating written supervisory procedures.
- Monitor regulatory changes and support the implementation of new or amended requirements.
- Facilitate monthly meetings with business unit management to identify emerging issues and discuss regulatory updates.
- Collaborate with Compliance, Legal, and control functions to enhance the overall compliance framework.

Qualifications
- Extensive experience in Compliance Advisory within a broker-dealer environment, specifically related to fixed income and futures activities.
- Strong understanding of U.S. securities laws and regulations, as well as broker-dealer operations.
- Proven ability to engage with U.S. financial regulators, including the Federal Reserve and SEC/FINRA.
- Excellent communication skills, both written and verbal, particularly in conveying complex technical information.
- Strong organizational skills with the ability to manage multiple projects effectively.

Diversity and Inclusion Commitment
SMBC is dedicated to fostering a culture of diversity and inclusion, ensuring that all employees contribute to an equitable environment through awareness and practice in recruiting, developing, and promoting diverse talent.

Work Environment
SMBC embraces a hybrid workforce model, allowing employees to work both remotely and from the office, while requiring that they reside within a reasonable commuting distance.

SMBC is an equal opportunity employer, committed to providing reasonable accommodations for employees and applicants with disabilities in accordance with applicable law.