Compliance Advisory Vice President

12 hours ago

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

We are seeking a highly skilled Compliance Advisory Vice President to join our team at Sumitomo Mitsui Banking Corporation. As a key member of our Compliance group, you will play a critical role in ensuring the effective management of our broker-dealer's compliance risk.

Key Responsibilities
  • Provide regulatory and compliance advice to business unit staff to ensure compliance with regulatory requirements.
  • Identify training needs and prepare and provide training to ensure staff are equipped to conduct business in compliance with regulatory requirements.
  • Conduct monitoring of relevant business units to ensure compliance with regulatory requirements.
  • Advise and provide regulatory guidance on establishing a reasonably designed supervisory system, including creating and updating written supervisory procedures.
  • Participate in and conduct monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
  • Support interactions with regulators and interface with Internal Audit during compliance-related examinations/audits.
  • Assist the central Compliance team in researching and drafting responses to regulatory inquiries.
  • Advise business units on the maintenance of their policies and procedures, focusing on the current compliance framework as a reference point.
  • Coordinate and collaborate with affiliates to address cross-border issues, reporting requests, and special projects.
  • Seek operational efficiencies and automation of processes to reduce the risk of manual processes.
  • Provide training to covered business units.
  • Contribute to various reporting requirements and other ad hoc investigations.
  • Work closely with other supporting units to help create and maintain best practices across the Firm.
Requirements
  • 7-10+ years of regulatory and/or advisory compliance experience at a broker-dealer.
  • A solid foundation in US securities laws and regulations and broker-dealer operations.
  • Ability to communicate this knowledge and applicability to SMBC Nikko Securities affiliate operations.
  • Understanding of the products, services, and business of SMBC Nikko Securities affiliates.
  • Ability to manage multiple assignments and build consensus among stakeholders.
  • Ability to translate technical subject matter and convey it in easily understandable components for clients.
  • Attention to detail and discipline to follow up on issues until resolved.
  • Must be well-organized with project management skills.
  • BA/BS required. Series 7, 24, 79 a plus.
What We Offer

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.

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