Communication Surveillance Associate

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 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

• Working knowledge of systems used for electronic message and voice recording reviews.
• Fluency in Japanese preferred.
• Experience with Surveil-X is desired.
• Prior work experience in the financial industry.
• Experience in MS Excel required.
  
  

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.