Sumitomo Mitsui Banking Corporation’s Compliance Department is seeking a qualified candidate to support the Bank’s compliance initiatives including, but not limited to, ongoing administration of the personal trading surveillance program and new hire/periodic training program, supporting the development and execution of compliance initiatives for three leasing subsidiaries, and performing certain administrative functions.
▪ Administration of the personal trading surveillance program;
▪ Administration of the new hire/periodic training program;
▪ Assisting compliance officers in periodic monitoring and testing activities;
▪ Assisting with annual policy reviews; and,
▪ Performing certain administrative and clerical functions associated with day-to-day compliance activities (e.g., annual compliance risk assessment process, ad-hoc special projects, among others).
Preferred Previous Work Experience:
▪ College degree, preferred.
▪ Exposure to the financial services sector, particularly wholesale banking is a plus.
▪ Exposure to personal trading surveillance is a plus.
College degree, preferred.
▪ Excellent organization skills
▪ High degree of attention to detail
▪ Ability to manage multiple tasks and deliver a quality work product
▪ Ability to quickly adapt to a changing environment
▪ Strong interpersonal and communication skills (verbal and written).
▪ Ability to work well independently or within groups as circumstances dictate