Ethics Office Program Governance Analyst

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 $72,000.00 and $87,000.00. 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

Overview:

The Ethics Office within the SMBC Americas Division Compliance Department is seeking a Program Governance Analyst. This Analyst is responsible for supporting all teams across the Ethics Office, including the Conduct Management Program, Compliance Culture Program and Employee Compliance Program. The role will work closely with subject matter experts and compliance officers and technology colleagues. The Analyst should have a familiarity with financial services and a willingness to learn.

Role Objectives

• Contribute to the development of content to support the key components of our Ethics Governance program.
• Perform periodic data collection and reporting of metrics and risk indicators to measure the Ethics Program effectiveness.
• Produce relevant reporting for senior management and Committees.
• Work with different stakeholders across the America Division.
• Work on policy and procedure gap analysis.
• Other duties as required.

Qualifications and Skills

• Bachelor’s Degree required.
• Approximately 1-3 years working experience in the financial services field.
• Demonstrate sound judgement, desire to continually deliver a quality and meaningful work product in a timely and efficient manner.
• Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs.
• Strong analytical skills, highly including demonstrated experience using PowerPoint, Excel and other tools to produce reports and manage data.
• Excellent written and verbal communication skills.
• Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics.

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 [email protected].