Compliance Administrative Officer
Apply NowCompany: Sumitomo Mitsui Financial Group, Inc.
Location: Jersey City, NJ 07305
Description:
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 $123,000.00 and $180,000.00. 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 Compliance Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division, playing a key role in driving strategic priorities across the Compliance Department. This role offers significant exposure to senior management, regulatory authorities, and other key stakeholders, providing an exceptional opportunity to gain insights across the three pillars of SMBC's Compliance Program: Corporate Compliance, Central Compliance, and Financial Crime Compliance.
Role Objectives
Qualifications and Skills
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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.
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 $123,000.00 and $180,000.00. 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 Compliance Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division, playing a key role in driving strategic priorities across the Compliance Department. This role offers significant exposure to senior management, regulatory authorities, and other key stakeholders, providing an exceptional opportunity to gain insights across the three pillars of SMBC's Compliance Program: Corporate Compliance, Central Compliance, and Financial Crime Compliance.
Role Objectives
- Provide support to the Chief Compliance Officer in managing departmental strategic initiatives.
- Develop and deliver impactful, clear, and concise presentations and materials for senior management, regulators, compliance leadership, and other key stakeholders.
- Prepare and refine compliance reporting and communications to ensure clarity, accuracy, and relevance for board-level and executive management review.
- Identify key regulatory developments and industry trends, analyzing their potential impact on the Compliance Program.
- Assist in the planning, execution, and oversight of strategic compliance projects.
- Establish effective partnership with key Compliance stakeholders and develop a strong understanding of the horizontal view of the department to support sourcing of reporting elements.
- Foster collaboration and engagement across the Compliance Department, enhancing overall operational effectiveness and organizational alignment.
- Serve as a strategic liaison between Compliance, the Corporate Secretary Team, Regulatory Affairs, and other internal functions.
- Champion continuous improvement by identifying opportunities to enhance department operations, effectiveness, and stakeholder satisfaction.
Qualifications and Skills
- Bachelor's degree required.
- 3-7 years of relevant experience in compliance, financial services, legal, consulting, or a related field.
- Ability to produce executive-level communications and presentations, particularly in PowerPoint, tailored to diverse, senior audiences.
- Proven track record in proactively managing tasks, providing timely updates, and escalating issues effectively.
- Excellent interpersonal skills, with a demonstrated capability to effectively engage and influence senior-level stakeholders and regulators.
- Strong analytical and strategic thinking skills, with the ability to synthesize complex regulatory issues into clear, actionable insights.
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, SharePoint).
- Exceptional organizational skills, attention to detail, and commitment to meeting deadlines in a dynamic, fast-paced environment.
#LI-RCH
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.