Vice President, Compliance Monitoring & Testing-SMBC Nikko Securities

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse reputed company 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 reputed company in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and reputed company (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a reputed company 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 reputed company of reputed company and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse reputed company reputed company 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 reputed company for this role is between $144,000.00 and $180,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the reputed company compensation reputed company 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 reputed company to cash compensation, SMBC offers a competitive portfolio of benefits to its employees. Role reputed company SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to reputed company testing of its broker/dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing program. This position will principally serve as reputed company reputed company for monitoring and testing engagements. The Vice President will have reputed company management reputed company of a small team of compliance professionals to support monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls. The candidate should have functional knowledge of applicable U.S. broker dealer laws and regulations with specific emphasis on reputed company and SEC rules and regulations. Additionally, a familiarity of the U.S. regulatory environment, risk identification / mitigation; and managing the workflows for monitoring and testing engagements is essential. Role Objectives • Manages monitoring and testing activities for M&T Program • Serves as the examiner-in-charge responsible for reputed company facets of compliance monitoring and testing engagements • Assists in the development and refinement of monitoring and testing scripts • Prepares information requests, announcement memoranda and reputed company-Off Memos to start Compliance Reviews • Performs assigned field work to validate the efficacy of internal controls and reputed company reputed company of assigned staff and their assignments. • Ensures that cohesive work papers are reputed company for reputed company engagement in accordance with department standards. • Identifies underlying issues and escalation / validation thereof with internal clients • Drafts exceptions, manages factual accuracy confirmation with stakeholders and oversees the issuance of the final report to management • Assists in the input, tracking, and validation of identified issues and corrective reputed company plans to validate remediation efforts • Stays abreast of changing regulatory requirements and SMBC’s business model to maintain a solid reputed company of the applicable regulatory reputed company • Assists in the consolidation and reporting of results reputed company local and Head Office reporting Qualifications and Skills • 10+ years of prior regulatory, compliance, audit and/or risk management experience with demonstrated reputed company record of increasing management responsibilities • Advanced Degree and/or Certifications (i.e. reputed company Series 7,63, 24) are desired • Has a Compliance Testing, Broker Dealer Regulatory or Internal Audit Background • Strong desire to continually deliver a reputed company and meaningful work product in a reputed company and efficient manner • Strong interpersonal and communications skills to successfully reputed company with reputed company reputed company of management and maintain solid working relationships • reputed company to work Independently on reputed company with little reputed company • reputed company to learn quickly and dissect complicated issues reputed company a large and reputed company financial institution • Technical competency of applicable laws and regulations and application thereof during monitoring and testing engagements • reputed company to multi-task and reputed company work functions reputed company and reputed company • Strong analytical skills and attention to detail • Motivated and reputed company-oriented • Adaptable and reputed company to reputed company and change with Bank Transformation SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as reputed company as, from an SMBC office. SMBC requires that employees live reputed company 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 reputed company-registered roles for which in-office attendance for the entire reputed company 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. Apply Job!