What are the responsibilities and job description for the Governance Analyst position at SMBC Group?
The anticipated salary range for this role is between $74,000.00 and $86,000.00. 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 Strategy and Governance Team, in the Office of the CEO (CEOAD S&G) resides within the First Line of Defense and is dedicated to strengthening the processes required for effective governance oversight in support of SMBC's enterprise goals and business strategies. Under this umbrella, the Strategy team develops and enforces a medium to long-term business strategy in alignment with the U.S. CEO’s vision, while the Governance team establishes measurements, policies, standards, and control mechanisms to support SMBC in execution of its goals and strategy related primarily to Issue Management, Policy Governance, Committee Governance, and the Code of Conduct.
In managing Issues, CEOAD S&G follows our Issue Management Policy and works with various stakeholders, including the various teams who raise Issues as well as those who remediate and others who perform validation of those remediations, across the three Lines of Defense. The Governance Specialist will initially assist the CEOAD S&G Team with governance of the Americas Division (AD) Issue Management. Other responsibilities may be added over time.
Role Objectives
The Governance Specialist follows established guidelines to perform quality assurance over records, conduct analysis, produce management reporting, and support training. The Governance Specialist will identify and resolve general problems and refer more complex problems to supervisors or other experts. The person may interact with senior management, infrastructure and business units, compliance, risk management, and audit functions.
The general allocation of work will look as follows and will fluctuate over time :
- 30 to 50% - Monitors activities in the Issue Tracking tool for adherence to the AD Issue Management Policy and escalates according to established guidelines.
- About 10% - Tracks and reports on upcoming remediation deadlines.
- About 10% - Provides AD Issue Tracker training guidance to Users across the three lines of defense.
- About 10% - Contributes to identifying opportunities to enhance the Issue Tracking tool.
- About 10% - Contributes to developing Issue Tracking tool training material.
- About 20% - Produces analysis and management reporting based on the inventory of Issues and activity over the Issue Lifecycle.
- About 10% - Assists with other ad hoc regulatory and governance related projects as necessary.
We will provide training and monitoring to help the person learn tasks and meet goals. There are daily team and weekly management meetings where the activities are discussed.
The person will be provisioned with a high level of access to the systems to conduct the day-to-day activities and required updates. The person's integrity, attention to detail and self-reliance are of utmost importance. As the role is partially remote, the abilities to remain focused, proactive, and engaged through Microsoft Teams are essential to being successful. On a daily basis, the role will require engagement with people across the region on an ad hoc basis to follow up questions and confirm status.
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 : $74,000 - $86,000
