Regulatory Officer, Associate – Exam Management
Sumitomo Mitsui Banking Corporation – SMBC Group
full-time
Posted on:
Location Type: Hybrid
Location: Los Angeles • California • 🇺🇸 United States
Visit company websiteSalary
💰 $82,000 - $140,000 per year
Job Level
JuniorMid-Level
About the role
- Supporting regulatory examination and/or advisory services including, but not limited to: responding to entry letters and information request; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting.
- Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators.
- Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations.
- Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties.
- Tracking the status of regulatory inquiries, exams, reviews and findings and circulates information in periodic status reports.
- Maintaining regulatory communications, transmittal letters, management responses, and remediation actions.
- Escalating potential issues observed during or outside the exams and reviews to ensure proper resolution.
- Working closely with all Regulatory Relations team members and assisting with other Regulatory Relations functions as needed.
Requirements
- College degree or equivalent required
- Graduate, law or business degree recommended
- At least 3 years of financial services experience at a regulator, bank or law firm
- Prior experience with financial services regulator or FBO and/or a background in finance, accounting or risk management is strongly preferred
- Strong project management skills supporting examinations and regulatory projects for the financial services industry
- General understanding of financial markets and financial services regulatory requirements
- Attention to detail with ability to complete work accurately and in a timely manner against strict deadlines
- Proficient in organizing and tracking progress on multiple tasks and projects with strong follow through and time management skills
- Ability to work independently under moderate supervision
- Excellent analytical, verbal and written communication skills.
Benefits
- Competitive portfolio of benefits
- Annual discretionary incentive award
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
due diligence reviewsregulatory examination supportdocumentation preparationrecordkeepingreportingproject managementfinancial services regulatory requirementsrisk managementfinancial analysisattention to detail
Soft skills
communication skillsanalytical skillsorganizational skillstime managementindependencestakeholder coordinationproblem resolutionfollow throughpresentation skillsteam collaboration
Certifications
college degreegraduate degreelaw degreebusiness degree