SMBC Group

Returning Candidate?

Compliance Analyst

Compliance Analyst

Job Locations 
US-NY-New York
Career Category 
Compliance and Legal
Position ID 
2017-0547
Corporate Title 
Analyst
Posting Date 
9/18/2017
Type 
Full-Time

More information about this job

Overview

Sumitomo Mitsui Banking Corporation’s Compliance Department is seeking a Compliance professional with one to three years prior banking / financial services experience. S/he will support the general day-to-day functions of the Compliance Department.

 

Responsibilities

The primary responsibilities for this position include, but are not limited to (estimated 70%):

  • Execute compliance testing and monitoring programs, inclusive of fieldwork, compilation of work papers, report issuance, 
  • and tracking of issues; 
  • Conduct periodic risk assessments of applicable U.S. banking laws and regulations; and
  • Conduct periodic reviews of policies and procedures and, when necessary, development of newly required policies and procedures.


II. Miscellaneous support duties include, but are not limited to (estimated 30%):

  • Support the ongoing development and administration of the regulatory compliance program for three leasing subsidiaries engaged in aircraft, ship, rail car, and commercial construction equipment to minimize regulatory compliance risk;
  • Become proficient in the ongoing administration of insider trading / personal trading surveillance activities via utilization of the Personal Trading Control Center (PTCC) system;
  • Support bank compliance-related activities as opportunities are presented; and
  • Perform ad-hoc special projects assigned by Compliance Department management.

Qualifications

Preferred Previous Work Experience:

  • One to three years prior banking / financial services experience, general knowledge of U.S. banking laws and regulations, and exposure to bank regulatory compliance and/or internal audit is desirable. 

Preferred Education/Licenses/Certifications/Registrations:

 

  • Undergraduate degree

 

Required  Skills/Abilities:

 

  • Ability to manage multiple tasks and deliver a quality work product
  • Ability to work well independently or within groups as circumstances dictate 
  • Excellent organizational skills 
  • High degree of attention to detail
  • Strong communications skills, ability to work under pressure and cross-cultural sensitivity are required to quickly adapt to changing tasks and workload