What are the responsibilities and job description for the Compliance Control Room 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
The position will report to the Head of Americas Control Room. Performs core Control Room advisory and monitoring functions including interaction with business functions, Watch and Restricted list maintenance, and deal updates.
Role Objectives
- Performs core Control Room advisory and monitoring functions. This requires interacting with Debt Capital Markets (DCM), Equity Capital Markets (ECM), Investment Banking Group (IBG), Relationship Management Group (RMG) and Structured Finance Group (SFG).
- Also assist in the continued enhancement of the Control Room and the build out of an expanded Control Room including policy and technology developments across divisions.
- Maintains information barriers and manages material non-public information. Maintains the Watch List and Restrict List. Advises and records all Wall Crossings.
- Liaises with EMEA and Tokyo Compliance to ensure global consistency where necessary and / or desirable.
- Performs local Conflicts of Interest (COI) checks
Qualifications and Skills
Salary : $80,000 - $131,000
