Associate, Compliance Reporting and Metrics

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.
The anticipated salary range for this role is between $96,000.
00 and $143,000.
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.
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.
Role Description The Compliance Reporting Team is part of the Program Governance function and is responsible for Board and Senior Management Compliance Risk Reporting, managing the Compliance Risk Appetite process, with guidance from Risk and centralizing the metrics inventory for CUSO and Americas Division reporting.
In doing so, the team works closely with various stakeholders including heads of US Compliance Functions, Group Companies, and the MIS team to enhance risk-based metrics’ reporting through key performance indicators (KPIs) and key risk indicators (KRIs), to help inform and report on both Compliance Risk and Compliance Performance to management, committees, and the Board.
In addition, this team partners with Compliance stakeholders to identify new and emerging risks to report to senior management.
The Compliance Reporting Associate will support the Compliance Reporting team in drafting senior management reports which include qualitative risk updates as well as quantitative production of results generated by the MIS team.
This role will also support the work aimed at enhancing compliance risk-based reporting.
This is a unique Compliance Risk Analytics and Reporting role that will help you deepen experience in various areas of Compliance and grow your personal and professional skillsets.
Role Objectives Work closely with the compliance team to ensure that all reporting and metrics programs are aligned with the company’s compliance objectives Assist in the preparation of reports to Senior Management and compliance related forums, including, analyzing data and drafting reports on compliance-related issues Support enhancements of reporting and metrics programs to identify areas of gaps/risk and ensure compliance with all applicable laws, regulations, and policies Communicate with relevant stakeholders to discuss changes in the regulatory environment, changes in internal policies and procedures and others emerging compliance risks Collaborate with other departments to ensure that compliance-related issues are addressed in a timely and effective manner Support Risk Appetite and Metrics’ annual refresh Maintain, update and communicate compliance reporting and compliance metrics procedures Identify and escalate KRI breaches according to the metrics procedures Draft metrics Breach Report for CCO Take meeting minutes and help the reporting team manage projects in flight Qualifications and Skills Bachelor’s degree in a relevant field, 4+ years of experience in compliance risk management & reporting and/or compliance metrics General knowledge of various business activities, products, and services offered across financial services institutions is preferred Demonstrate a working knowledge of applicable compliance laws/regulations, industry trends, and emerging issues/risks, as well as ability to understand their applicability to risk management strategies Detail-oriented with the ability to stay organized across multiple workstreams; Ability to work independently and as part of a team Advanced skills in Power Point and Microsoft Excel, including VLOOKUPs and Pivot Tables, and skills in Program Management Tools (e.
g.
, JIRA) Ability to use or at least understand Data Visualization tools functionalities such as PowerBI Understanding of SharePoint capabilities Excellent written and verbal communication skills Strong analytical, problem-solving and organizational skills 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.
SMBC is an EO employer – M/F/Veteran/Disability.
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.