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SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $208,000.00 and $225,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Role Description

The role is primarily responsible for ensuring that the Monitoring and Testing team (M&T) and Compliance Risk Assessment teams executes their activities in accordance with the established program. This responsibility includes implementing a strong level of governance as well as ensuring that common standards and consistent practices are being achieved across all compliance testing disciplines and Compliance Risk Assessment.

Role Objectives

• Quality Assurance — overseeing and ensuring that all testing work papers and associated documentation are prepared appropriately in order to effectively communicate testing scope and results to Monitoring and Testing Management and Compliance Risk Assessment management Senior Management and business unit management;

• Management Information System Reporting — providing regular reporting to senior management and, as applicable, executive-level committees responsible for ensuring appropriate risk and compliance management;

• SharePoint maintenance and Monitoring — supervising the setup of Annual Monitoring and Testing Plans at the beginning of each fiscal year and monitoring subordinate staff to ensure that all assigned Compliance Reviews are documented on the CPAD Monitoring and Testing Central Repository and changes and updates are reviewed and approved by the appropriate personnel;

• Issue Tracking — managing the development and implementation of a CPAD Quality Assurance Issue tracking process;

• Policy and Procedure Review — supervising the Annual Review of the CPAD Quality Assurance policies and procedures in order to comply with Bank policies ; and

• Management and Training of Staff — managing Quality Assurance Practices staff, ensuring the timely completion and reporting of QA activities; and supervising the development and delivery of internal training to address enhancement opportunities identified in the Quality Assurance process and to ensure that Testing Teams and Compliance Risk Assessment team are up-to-date with best practices.

Qualifications and Skills

• General compliance and/or audit-related experience with a functional understanding of U.S banking/or broker dealer/swap dealer laws/regulations.

• 10+ years of experience and +3 years managing is a plus, overseeing and ensuring the development, implementation and management of common standards and consistent practices across all compliance testing disciplines throughout Financial entities operations in across the Americas ensuring stricter adherence to relevant regulations

• Strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner. Demonstrates strong judgement, political astuteness, and sensitivity to cultural diversity. The requirements listed below are skills and abilities that are required to achieve this standard.

• Strong interpersonal and communications skills to successfully interface with different stakeholders and maintain solid working relationships.

• Maintaining a regulatory compliance risk mindset to understand underlying risks and weaknesses to properly mitigate such risks.

• Technical competency of applicable laws and regulations (banking, securities and /or swap dealer) for application thereof during monitoring and testing quality assurance reviews.

• Strong analytical skills and attention to detail.

• Ability to work on multiple assignments and reprioritize as circumstances may dictate.

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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. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.