SMBC Group

  • Compliance Administrator

    Job Locations US-NY-New York
    Posting Date 2 weeks ago(5/14/2018 4:56 PM)
    Career Category
    Compliance and Legal
    Position ID
    Corporate Title
  • Overview

    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.



    Preferred Education/Licenses/Certifications/Registrations:


    College degree, preferred.


    Required  Skills/Abilities:


    ▪ 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





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