What are the responsibilities and job description for the Compliance Control Room position at SMBC?
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 $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 DescriptionThe 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 ObjectivesPerforms 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) checksQualifications and SkillsPrior Control Room experience preferred.Ability and confidence to successfully interact with management and senior bankers.Ability to analyze complex situations and provide guidance in time sensitive situations.Excellent oral and written communication skills including the ability to articulate securities laws and regulatory requirements to business professionals.Self-starter able to work independently with minimal supervision as well as within a team environment.Ability to work as a member of a team in a fast-paced environment.Detail-oriented with ability to multitask, organize and prioritize.Additional Requirements#LI-RCHSMBC’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.We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.
Salary : $80,000 - $131,000
