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 $83,000.00 and $125,000.00. 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** SMBC Capital Markets, Inc. is a derivatives trading company which was started in 1988 and is based in New York City, with offices in London and Hong Kong. SMBC Capital Markets, Inc. is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and foreign exchange products such as interest & FX swaps, FRAs, options, exotic products, commodity derivatives as well as exchange traded products such as treasury bonds, interest rate futures & options, currency futures, treasury futures & options, etc. SMBC is hiring an Associate within the CFTC Trade Reporting team. The team is responsible for ensuring the timeliness, completeness and accuracy of its CFTC Part 43/45 reporting. The associate’s primary responsibility will be to ensure data quality on trades that require reporting. The candidate should have functional knowledge of derivatives and Dodd Frank regulations. **Responsibilities** + Create a robust control environment where regulatory reporting issues are identified quickly and accurately + Accountable for overseeing and monitoring correct reporting for regulatory reports. + Developing new or enhancing existing compliance policies, procedures, manuals. + Actively ensure proper mitigating controls are in place and be responsible for improving processes + Must be aware of Regulatory Reporting issues and updates + Should be able to highlight any control issues that are found either within the team or the wider Operations’ teams that we monitor + Investigating non-compliance issues and escalate to appropriate teams/individuals + Regular review of data quality and system workflows to ensure compliance + Perform data mapping to identify data gaps and work with business users to source the additional information required + Maintain and create a continuing growing list of metrics **Qualifications and Skills** + Solid understanding of at least one of the following asset class (FX, Rates, Credit) + Ability to incorporate guidance from multiple sources into day-to-day workstreams + Ability to communicate complex ideas in simple terms + Proficiency in Excel Preferred Qualifications + Experience writing policies and procedures + Experience in remediating Audit findings (planning and execution) + Alteryx 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.