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Director of Compliance Risk Management

2 months ago

Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time
Job Description

**About the Role**

Sumitomo Mitsui Banking Corp. is seeking a highly skilled professional to join our Compliance Department Americas Division as a Director of Compliance Risk Management. This role will be responsible for leading the management of the Compliance Control Inventory and assisting in managing a comprehensive risk assessment framework.

Key Responsibilities

  • Compliance Control Inventory Management: Develop and implement policies, procedures, and processes to maintain and periodically validate the inventory.
  • Data Integrity: Ensure the Compliance Control Inventory meets data integrity standards of SMBC AD.
  • Compliance Framework Integration: Manage the process to ensure connectivity of the Control Inventory with other elements of the compliance framework, including the Compliance Risk Assessment, Monitoring & Testing, and the inventory of Laws, Rules, and Regulations.
  • Compliance Risk Assessment: Assist with the design and implementation of a comprehensive Compliance Risk Assessment framework for the SMBC Group Americas Division, identifying the inherent risk of applicable laws/regulations/rules and assessing the efficacy of internal controls to derive residual risk profile.
  • Leadership and Guidance: Provide leadership and guidance to stakeholders across the 1st and 2nd lines of defense with respect to identifying and documenting compliance-related controls in the Control Inventory.
  • Management Reporting: Develop management reporting on the Control Inventory and Compliance Risk Assessment.
  • Training and Quality Assurance: Provide guidance and ongoing training to Controls owners and Compliance Officers involved in the Compliance Risk Assessment, including advising on technical aspects of risk assessment process and methodology, conducting quality assurance of results, and providing effective challenge on ratings and written rationales.
  • Annual Compliance Risk Assessment Report: Work with other members of the Compliance Risk Assessment team to draft the annual Compliance Risk Assessment Report as well as presentations to 1st line of defense management teams and risk committees.
  • Management Action Plans: Work with relevant stakeholders across the 1st and 2nd lines of defense to design management action plans to address control gaps identified during the Compliance Risk Assessment or as part of the maintenance of the Control Inventory.

Requirements and Qualifications

  • Education: Bachelor's Degree required; J.D. or M.B.A. preferred.
  • Experience: Minimum of 12 years of prior regulatory, compliance, and/or risk management experience.
  • Financial Services Experience: Financial services experience and knowledge of wholesale banking products preferred; Securities and swap dealer experience is a plus.
  • Risk Management Experience: Experience implementing and managing risk and control assessments and/or inventories (e.g., Compliance Risk Assessment, Risk and Control Self-Assessment, or Control Inventory).
  • Project Management: Demonstrated track record of increasing project management responsibilities.
  • Analytical and Communication Skills: Ability to analyze results and identify trends / forecasting using resultant data and other available metrics (e.g., KPI, KRIs, etc.) while promoting measures to mitigate regulatory compliance risk. Strong interpersonal and communications skills (written and verbal) to successfully interface with all levels of management and maintain solid working relationships in a collaborative group environment.