Compliance Program Manager – VP

Overview

SMBC’s Americas Division Compliance Department would like to hire a Vice President responsible for the execution of assigned tasks to support senior management.

The anticipated salary range for this role is between $123,000 and $175,000. 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.

Responsibilities

Support the Compliance Administrative Officer for the Americas Division Compliance Department with the ongoing responsibilities of their Office.

• Assist with the management and oversight of the Compliance Department across the Division.
  • Prepare, update, and implement plans to support key strategic Compliance initiatives.
    • Identify key areas for improvement.
    • Address significant regulatory issues and partner with SMEs in Legal and Compliance to determine implications of regulatory changes and industry events.
    • Support special Compliance projects and program buildouts (e.g., ESG and Privacy).
  • Analyze and synthesize important Compliance trends and escalate as appropriate.
  • Facilitate reporting to the Board and senior management, ensuring their needs and concerns are appropriately addressed.
    • Work closely with Compliance senior management on relevant updates.
    • Serve as a key liaison between the Corporate Secretary Team and the Compliance Department.
  • Draft and revise policies and procedures to improve the Department’s efficiency.
  • Draft and review communications tailored to the applicable audience from Department leaders.
• Promote organizational culture and work to improve the overall health of the organization through employee engagement, collaboration and values alignment.
• Build relationships and collaborate with teams across the firm to achieve SMBC’s goals.

Qualifications

• 3-7 years of experience in financial services, law, consulting or a related field;
• Strong work ethic and dedication to meet target dates;
• Excellent communication skills and ability to effectively interact/liaise with people at senior levels;
• Strong PowerPoint skills, with the ability to create clear, concise and well-organized presentations;
• Proactive with status updates and escalations is essential;
• Proficient with MS Suite (Excel, Word, PowerPoint, Project, Visio, SharePoint);
• Bachelor’s Degree required – Masters or JD are a plus.