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Compliance Business Officer - Surveillance, Data & Analytics - Director

Sumitomo Mitsui Banking Corporation (SMBC)
remote work
United States, New York, New York
277 Park Avenue (Show on map)
April 13, 2024

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 Rail Services LLC, Manufacturers Bank, 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 $161,000.00and $231,000.00. 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 senior role within the Compliance Department supports the Head of Surveillance, Data & Analytics (DAS).The purpose of the role is to serve as a business manager by assisting with management reporting, deliverables to internal audit, finance, Home Office and other internal parties and departments. budget, headcount, recruiting, and other matters, and manage key Compliance teams including the Compliance Reporting, Training, Issue Management, and Transformation teams.

Additionally, this individual will act for and on behalf of the Head of DAS on strategic and operational matters where necessary, including representation at key committees and managerial meetings. Organize and prioritize critical issues and required information to facilitate efficient decision making. Acts as a pointof contact or gatekeeper between top management and other stakeholders. Provides oversight and guidance to projects of high importance.

Role Objectives
  • Oversee complex cross-functional projects and initiatives
  • Assist with the management of key Compliance teams, including electronic communications surveillance, trade surveillance, regulatory registrations, personal-account-dealing controls, outside business activity controls, and data and technology teams
  • Create and update dashboards for reviewing key performance indicators. Improve current processes and coordinate organizational procedures for optimized efficiency and productivity
  • Set strategic priorities with the Head of DAS to identify areas of focus and identify metrics for success
  • Review, design, and participate in execution of improvements to the processes within DAS scope
  • Oversee daily operations through collaboration with senior management and department leaders, performing an array of managerial and administrative tasks, including tracking deliverables to internal audit and Monitoring & Testing
  • Build and develop relationships with all Complianceemployees for increased efficiency and effective responsiveness into existing operations and help to define new operational strategies
  • Partner with HR to drive recruiting for full time, intern and contractor positions
  • Review and approve department expenses and create and monitor budget for approval
  • Coordinate annual Compliance and Business plans and roadmap with priorities
Qualifications and Skills
  • At least ten years of experience in the financial services industry, with background in Compliance surveillance preferred
  • Bachelor's degree preferred; law degree preferred
  • FINRA registration a plus
  • Excellent communication and presentation skills, leadership and relationship-building skills including the front office, infrastructure and risk management units. Including a proven ability to develop consensus in dynamic environments and to influence others
  • Excellent project management skills in order to effectively manage several priority projects at the same time with a sense of urgency
  • Exceptional reasoning and analysis skills; attention to detail; strong oral and writing skills; resourcefulness, among other abilities
  • Judgment in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.
  • Ability to provide thought leadership and subject matter expertise for compliance issues.
Additional Requirements

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.

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.