What are the responsibilities and job description for the Compliance Communication Surveillance Associate position at SMBC Group?
The anticipated salary range for this role is between $80,000.00 and $131,000.00. 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
Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate. This role is responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events. The candidate will need to consider FRB, FINRA, SEC and CFTC rules, as well as internal policies.
Role Objectives
- Timely review of incoming / outgoing electronic and voice communications.
- Identifying electronic and voice communications that require further investigation and escalating to an appropriate line of business supervisors or control function, accompanied by appropriate documentation to support the escalation.
- Staying abreast of relevant regulations, industry best practices, and internal policies.
- Supporting ad-hoc special investigations at the direction of management.
- Participating in projects to expand, improve, and refine the electronic and voice communications surveillance program for the Americas Division.
Qualifications and 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. 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 : $80,000 - $131,000
