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 $166,000.00 and $205,000.00. 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

This exciting opportunity to drive the transformation of the Compliance department by supporting strategic technology projects within a dynamic environment, the Technical Business Analyst (BA)/Project Manager (PM) will be a Subject Matter Expert (SME) in the areas of corporate compliance, compliance surveillance, transactional data sets, and bank related reference data. The Associate BA/PM role will manage project plans, contracts, author key Business Requirement Documents (BRDs), Functional Requirements Documents (FRDs), map workflows and dataflow processes, with a focus on, but not limited to, understanding bank related trade and transaction compliance risks, communications risks, as well as financial crime, and manipulation risks. Moreover, lead and organize various testing plans from start to final execution.

 

This is a mid-level role on the growing Compliance Technology Department within the Americas Division (CPAD). They will coordinate and advise consultants/contractors or consulting/contracting teams, technical and data teams. They will also be expected to review data sets, data mappings, and business processes. The role supports all areas of Compliance across the Americas and interfaces heavily with technology teams throughout the group.

This is a hybrid role and will require on-site presence 

Qualifications and Skills

Recommended years of experience: 7

To be successful in this role you will:

Lead projects and execute using Agile methodology Work with Subject Matter Experts (SMEs) across Compliance to plan technology projects and create Business Requirement Documents (BRDs) / Functional Requirements Documents (FRDs) needed for successful technology integration, aiding in the risk mitigation for the Americas Division (AD) Draft, review, edit, and update BRDs, FRDs, and Test Plans break these artefacts into user stories and manage the backlog Document Data Flows and Workflows Development of end-to-end UAT approach, plan, and test scripts. Coordination and support of UAT stakeholder calls (UAT overview, training, test execution etc.) Supporting defect management calls with vendors Develop SQL queries to understand underlying data and data quality Leverage JIRA and Confluence to manage work load and documentation Assist with development and distribution of UAT metrics to project team Assist with development of training materials for end users Assist with development and management of detailed change management project plans and timelines with accountable stakeholders and external vendors Assist with tracking status of initiative, projects, milestones and circulates information in weekly and monthly status reports as needed Track Testing Plans and project plans Promote knowledge sharing and promulgation of best practices across Compliance Escalate Issues as they arise, ensure issues are addressed and closed Act as the Compliance interface with technology teams Promote knowledge sharing and promulgation of best practices across teams Additional Requirements

Additional Qualifications

3+ years experience with Structured Query Language (SQL) Direct experience with the accurate and timely delivery of Business Requirement Documents (BRDs), Functional Requirements Documents (FRDs), user stories, test plans, test scripts, and workflows they have authored Experience working within both the waterfall and agile software development lifecycles Reasonable understanding of trading strategies, asset movements, financial products, and industry terminology Baseline understanding in Compliance laws, rules, regulations, risks, and typologies Direct experience within the Banking & Finance field and knowledge of Capital Markets Meticulous attention to detail and demonstrated ability to produce high quality, accurate work consistently Strong to moderate presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging Strong interpersonal skills for building strong relationships with stakeholders and engaging teams Excellent oral communication and writing skills in interacting with non-executives and technology management and across business lines and control functions Have a good understanding of database design, experience with data mapping, and be able to use tools to select data sets from a database as required D&I Commitment Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

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.

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. SMBC 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 at accommodations@smbcgroup.com.