What are the responsibilities and job description for the Operations Examination Support Specialist position at Lensa?
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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 MANUBANK, 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 $90.00 and $170,000.00. 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
"Planning Strategy and Information Services [PSI] is a Group in the BCDAD Division, responsible for the planning and management of operational initiatives for various business units and subsidiaries in the Americas Division. This includes Loan Servicing, Asset Based Financing, Securitizations, Money Transfer and Deposit Operations, and Treasury Operations. Additionally, PSI performs research and development/feasibility of new product offerings and strategic business initiatives required by the Americas Division and/or Head Office. Included in this scope of responsibilities is the development and maintenance of Management Reporting for various business units which provides critical information necessary to conduct its business in the Americas; and supporting users of, and development of certain business critical systems.
The Vice President of the Operations Examination Support (OES) Team will assist with serving as a BCDAD single point of contact for all internal, external audits, and regulatory examinations to ensure that BCDAD response is conducted in accordance with company standards."
Role Objectives: Delivery
Manages exam first day letter request process and overall coordination and communication for execution of exam.
Preparing documentation requested by various auditors and regulators, and providing to key stakeholders for sign off.
Coordinates with PSI OES members across BCDAD verticals to execute project plans to respond to review body inquiries and facilitation of recommendations issued by regulators, internal and external auditors.
Builds strong relationships and coordinate with key stakeholders across BCDAD, CEOAD, CPAD Regulatory, Compliance, Legal, etc.
Facilitating workshops and planning sessions as required.
Generates and communicates current status of progress for ongoing audit reviews, and remediation for key items to senior management.
Coordinates for various status meetings, touchpoints, with various stakeholders
Review existing controls, policies and procedures and identify enhancements where necessary
Manage issue remediation for AD Operations including without limitation BCDAD operational vertical units including Settlement Operations, Loan Services, Treasury Operations and Anti-Fraud.
Collaborates to identify themes across various reviews and findings for Americas Division entities.
Responsible for developing, documenting and collaborating with end-users to understand information requirements for audit reviews.
Role Objectives: Expertise
Strong experience of project delivery in a financial institution environment, experience in Regulatory risk management and Audit Reviews.
People management experience, along with strong collaboration and influencing skills.
Communications – Strong verbal and written skills.
Fluency in office productivity software.
Attention to details, confidentiality, and integrity.
Strong stakeholder management skills; be able to communicate directly and effectively.
Able to prioritize workload, work under tight deadlines, and work effectively with user community.
Qualifications And Skills
7 years of specialized experience in Financial Services
BA / BS Required
Additional Requirements
MA / MA / MBA Preferred
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. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.
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 MANUBANK, 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 $90.00 and $170,000.00. 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
"Planning Strategy and Information Services [PSI] is a Group in the BCDAD Division, responsible for the planning and management of operational initiatives for various business units and subsidiaries in the Americas Division. This includes Loan Servicing, Asset Based Financing, Securitizations, Money Transfer and Deposit Operations, and Treasury Operations. Additionally, PSI performs research and development/feasibility of new product offerings and strategic business initiatives required by the Americas Division and/or Head Office. Included in this scope of responsibilities is the development and maintenance of Management Reporting for various business units which provides critical information necessary to conduct its business in the Americas; and supporting users of, and development of certain business critical systems.
The Vice President of the Operations Examination Support (OES) Team will assist with serving as a BCDAD single point of contact for all internal, external audits, and regulatory examinations to ensure that BCDAD response is conducted in accordance with company standards."
Role Objectives: Delivery
Manages exam first day letter request process and overall coordination and communication for execution of exam.
Preparing documentation requested by various auditors and regulators, and providing to key stakeholders for sign off.
Coordinates with PSI OES members across BCDAD verticals to execute project plans to respond to review body inquiries and facilitation of recommendations issued by regulators, internal and external auditors.
Builds strong relationships and coordinate with key stakeholders across BCDAD, CEOAD, CPAD Regulatory, Compliance, Legal, etc.
Facilitating workshops and planning sessions as required.
Generates and communicates current status of progress for ongoing audit reviews, and remediation for key items to senior management.
Coordinates for various status meetings, touchpoints, with various stakeholders
Review existing controls, policies and procedures and identify enhancements where necessary
Manage issue remediation for AD Operations including without limitation BCDAD operational vertical units including Settlement Operations, Loan Services, Treasury Operations and Anti-Fraud.
Collaborates to identify themes across various reviews and findings for Americas Division entities.
Responsible for developing, documenting and collaborating with end-users to understand information requirements for audit reviews.
Role Objectives: Expertise
Strong experience of project delivery in a financial institution environment, experience in Regulatory risk management and Audit Reviews.
People management experience, along with strong collaboration and influencing skills.
Communications – Strong verbal and written skills.
Fluency in office productivity software.
Attention to details, confidentiality, and integrity.
Strong stakeholder management skills; be able to communicate directly and effectively.
Able to prioritize workload, work under tight deadlines, and work effectively with user community.
Qualifications And Skills
7 years of specialized experience in Financial Services
BA / BS Required
Additional Requirements
MA / MA / MBA Preferred
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. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.
Salary : $90,000 - $170,000
