Head of E-Comm Surveillance

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 $230,000.00 and $275,000.00. 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

SMBC’s Compliance Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework across the Americas. This role reports directly to the Managing Director, Head of Surveillance, Control Room, and Conflicts of Interest and is responsible for the implementation, management, and optimization of vendor applications that support this framework.

The successful candidate will drive the strategic development of policies, procedures, and technological solutions in response to regulatory changes and business needs, ensuring a robust and effective communications surveillance program.

Role Objectives

• Lead and manage the E-Communications and Voice Surveillance programs for SMBC Americas, including the development, maintenance, and enforcement of policies, procedures, and controls.
• Direct the Communications Surveillance review team, ensuring effective risk identification, escalation, and resolution.
• Oversee the handling of escalated communications, working closely with line of business supervisors and compliance teams as necessary to address potential issues in alignment with regulatory requirements.
• Enhance surveillance training by providing subject matter expertise to the central compliance training team for continuous program development.
• Develop and implement meaningful Management Information Systems (MIS) and performance metrics to track program effectiveness and escalate key findings as needed.
• Lead system implementations and enhancements, ensuring surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices.
• Collaborate with Data Analytics teams to design, implement, and refine models supporting communications surveillance.
• Define and report Key Risk Indicators (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends.
• Stay ahead of regulatory developments and industry best practices, ensuring SMBC’s surveillance framework remains proactive and compliant.
• Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and Group Compliance Officers (CCOs).
  
  

Qualifications And Skills

• Bachelor’s degree required; advanced degree or relevant certifications preferred.
• Minimum 12 years of experience in the financial industry, with a strong focus on compliance, surveillance, or electronic communications monitoring.
• Proven leadership experience managing compliance teams and developing surveillance programs.
• Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks.
• Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows.
• Experience working with electronic communications surveillance tools (e.g., Surveil-X, Relativity Trace, NICE Actimize, or similar).
• Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings.
  
  

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.