Compliance Analyst

1 week ago

New York, United States SUMITOMO MITSUI TRUST BANK, LIMITED Full time
Job DescriptionJob DescriptionThis role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week.

About the Bank

Sumitomo Mitsui Trust Bank, Limited was established through the merger of The Sumitomo Trust and Banking Co., Ltd with Chuo Mitsui Trust and Banking, Ltd. on April 1, 2012. We are one of the largest asset managers in Asia and number one among Japanese financial institutions by AUM, with approximately $850 Billion USD in AUM. The Bank provides an assortment of financial solutions and manages a broad spectrum of financial products across its global branches.


This position is for Assistant Officer level candidates.

Department Overview:

The Americas Division (“AD”) was established in the Sumitomo Mitsui Trust Bank, Limited, New York Branch) (“SMTBNY”) to perform corporate functions and supervise U.S. entities. Established under the AD are the “Global Banking Unit (“GBU”), Americas Division” and “Global Markets Unit (“GMU”), Americas Division” which performs business functions. The Regulatory Compliance Department (“RCD”) provides support to all departments of the New York Branch for regulatory compliance related advice, monitoring, self-testing, and reporting in order to reduce regulatory risk of Sumitomo Mitsui Trust Bank, Limited (“SMTB”).


Your Role:

The Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Prepares and delivers Bank-wide and targeted training. Drafts new and existing policies and procedures to ensure that the Bank meets the requirement of various legal and regulatory agencies. Responsible for Know Your Customer due diligence, monitoring employee accounts, and Anti Money Laundering activities. Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the system.

Your Duties and Responsibilities

  1. Clears Prime System generated BSA related alerts and documents rationales.
  2. Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List).
  3. Performs BSA compliance Tests as well as Corporate Compliance Tests
  4. Performs Customer/Account Profile reviews via Surety software.
  5. Reconciles Employee Personal Trading Monitoring Program related documents.
  6. Updates various compliance related logs and keeps track of compliance related documents.
  7. Arrange meetings, take minutes.
  8. Assists and prepares compliance testing work papers for all the tests performed.
  9. Participates in periodic compliance related committees. Take minutes.
  10. Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials.
  11. Maintains files on appropriate regulatory compliance related issues.
  12. Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly.
  13. Prepares various monthly reports.
  14. Assists with the Annual Risk Assessment of BSA and Corporate Compliance.
  15. Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees.
  16. Performs other duties and responsibilities as assigned by management.

Your Qualifications
  1. Bachelor’s degree or equivalent.
  2. Excellent computer skills in Microsoft Office (Excel, Word, and PowerPoint).
  3. Excellent interpersonal skills, good oral and written communication skills.
  4. Good detail orientation, organizational, and multitasking skills.
  5. Strong basic math skills required.
  6. Proficiency in Excel, Access, VBA script, preferred.


Why you should join SuMi Trust:SuMi Trust embraces flexible ways of working when the business and role permits. We provide employees with a hybrid working model, allowing for in-office work and work from home. Our diverse and inclusive environment along with our global presence enables us to collaborate and communicate to meet our business needs. We believe that efficient teams need truth, loyalty, and a strong sense of purpose to balance risk and their targets. We make sustainable business decisions to improve our society and the world. We believe that each person brings a unique value that drives the business though their creativity and passion.
  • The Employee Benefits package includes: Paid Time Off, medical, HSA, vision, dental, FSA, 401(k), profit sharing, legal plan, cancer indemnity plan, disability insurance, life insurance, employee assistance program, commuter benefits, business travel accident, paid volunteer day, paid memberships, paid seminars, and tuition assistance.
  • We offer many socialization opportunities for wellness, financial wellbeing, runs/walks, team building, happy hours, and activities to support the Sustainable Developmental Goals.

Check out our LinkedIn for our employee experience: https://www.linkedin.com/company/smtbny

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. SuMi Trust provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know when the Human Resources staff reaches out to you for an interview.

The anticipated salary range for this role is listed above. The specific salary offered to an employment applicant is based on the individual’s qualifications, experiences, the job responsibilities, an analysis of the current compensation paid for similar roles in the local geographic area, and key distinctions of the job as compared to current jobs in the Branch. The role may also be eligible for an annual discretionary bonus.

Sumitomo Mitsui Trust Bank, Limited New York Branch is a branch of Sumitomo Mitsui Trust Holding Group. Learn more about the company, the values, and vision at https://www.smth.jp/english/about_us/philosophy

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