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 $137,000.00 and $178,000.00. 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 Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ("CPAD").  This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Role Objectives Deliver the goals and objectives of a Project within the established timeframe and budget for the project Ensure that key project documentation, which shows that the respective project is adhering to the minimum required standards established, is prepared, reviewed, and stored in the respective project’s record in the designated central database Primary focus of this role is the day-to-day operational execution of transformation initiatives and contributing to strategic planning within area of expertise Supports the development and execution of business plans, policies and procedures, as well as oversee assigned workstreams/projects to improve efficiencies; and applies project and change management principles to projects Managing compliance-driven initiatives and/or processes which require close partnership with compliance and/or audit functions Leveraging data to evaluate the progress of workstreams and overall project success, identify trends to anticipate issues, develop alternative solutions and escalate risks Applies risk-focused planning for team initiatives, investigations and continuous improvement plan Participate in the management and maintenance of a strong change control process throughout the duration of Projects Lead strategic planning sessions and facilitate production of workstream deliverables Lead project planning and governance sessions Proactively solicits feedback from stakeholders and partners prior to finalizing project related deliverables Develop strong and influential relationships across senior levels of an organization and manage/lead project teams and multiple work streams, in a changing environment Qualifications and Skills

Must Have:

Bachelor’s Degree required; Advanced Degree highly preferred; 2-4 years progressive experience in Project/Program Management Effective oral and written communications Ability to work effectively and engage across functional areas Ability to partner effectively with cross-functional (technical and non-technical) stakeholders Strong knowledge of business process management or financial services industry experience, including direct experience in compliance and/or operational risk management Experience working in a Compliance-Risk & Control setting in a large, diversified financial institution Demonstrates teamwork and ability to listen, share and cooperate Effectively drive the execution of plans and tracking to closure

 

Nice to have:

Relevant project professional certifications (PMP, Prince2, CAPM, etc)

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.