Broker-Dealer Compliance Advisory
Sumitomo Mitsui Banking Corporation – SMBC Group
full-time
Posted on:
Location Type: Hybrid
Location: New York City • New York • United States
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Salary
💰 $248,000 - $285,000 per year
About the role
- Provides regulatory and compliance advice, identifying training needs, preparing and providing training to the relevant business units.
- Provides advice on regulatory and compliance requirements to business unit staff so that they may conduct their business in conformance with regulatory requirements.
- Advises and provides regulatory guidance on establishing a reasonably designed supervisory system including to create and update written supervisory procedures.
- Participates in and may conduct monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
- Supports interactions with regulators and Interfaces with Internal Audit during compliance related examinations / audits related to coverage area.
- Assists central Compliance team in researching and drafting responses to regulatory inquiries.
- Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point.
- Coordinates and collaborates with affiliates to address cross border issues, reporting requests and special projects.
- Seeks operational efficiencies and automation of processes to reduce risk of manual processes.
- Contributes to various reporting requirements and other ad hoc investigations.
- Works closely with other supporting units to help create and maintain best practice across the Firm.
Requirements
- [10-15+] years of regulatory and/or advisory compliance experience at a broker dealer in securitized products and/or related topics.
- A solid foundation in US securities laws and regulations and broker dealer operations.
- Ability to communicate this knowledge and applicability to SMBC Nikko Securities America, Inc. and affiliate operations.
- Understanding of the products, services and business of SMBC Nikko Securities America, Inc. and affiliates.
- Ability to manage multiple assignments and build consensus among stakeholders.
- Ability to translate technical subject matter and convey it in easily understandable components for the clients.
- Attention to detail and discipline to follow up on issues until resolved.
- Must be well organized with project management skills.
- BA/BS required.
- Series 7, 24, 79 a plus.
Benefits
- Competitive portfolio of benefits to employees
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory compliancesupervisory procedurespolicy maintenancerisk managementoperational efficienciesproject managementregulatory inquiriesadvisory compliancesecuritized productsUS securities laws
Soft Skills
communicationattention to detailorganizational skillsstakeholder consensus buildingtrainingcollaborationproblem-solvingadaptabilitydisciplineproactive identification
Certifications
BA/BSSeries 7Series 24Series 79