Overview
The Ethics Office within the SMBC Americas Division Compliance Department is looking for a Conduct Risk Program Analyst in the Ethics Office who can leverage their data analytics skills to support conduct risk trend analysis and reporting. This individual will be responsible for supporting the Conduct Risk Program and participate in driving initiatives which contribute to the management of conduct risk throughout the Americas Division.
The Ethics Office mission is to promote the firm’s cultural values and manage conduct risk throughout the Americas Division.
The anticipated salary range for this role is between $69,000 and $81,000. 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
- Contribute to the development of content to support the key components of our Conduct Risk Program, including data analytics and reporting of conduct risk through a culture lens;
- Participate in conduct risk reviews to preform investigative tasks, including e-communications searches, transactional reviews and other data assessments
- Perform monthly/quarterly data collection and reporting of metrics/Key Risk Indicators to measure the Conduct Risk program;
- Produce relevant reporting for senior management and Committees;
- Work with stakeholders (e.g. HR, Compliance Department Policy Owners, Compliance Leadership) across the America Division to effectively manage applicable aspects of the Conduct Risk Program; and
- Develop training materials to support AD-level training initiatives and communication on Conduct Risk.
Qualifications
- Approximately 1-4 years of data analytics experience in a Compliance role, preferably within a financial services firm
- Understanding of culture, conduct, and/or ethics risk management compliance programs
- Excellent written and verbal communication skills
- Strong technical skills, including demonstrated experience using PowerPoint, Excel and other tools to produce reports and manage data
- Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs
- Energetic, eager to learn new skills, and expand knowledge of compliance topics