Overview
Sumitomo Mitsui Banking Corporation is hiring a Compliance Policy Associate to support the Compliance department with key policy program functions and initiatives.
The role entails a variety of administrative, technical, coordination, and organizational duties in support of the Compliance Policies team across SMBC Americas Division (AD) entities, such as policy program quality control, document management, issue management, policy mapping, policy writing, repository management (shared drives, SharePoint, etc.), and other tasks as assigned.
The anticipated salary range for this role is between $81,000 and $132,000. 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 policy management efforts, assisting with the review, quality control, and publishing of policy related documents.
- Serve as the policy team point person for newly developed team’s SharePoint site and the policy repository system, including but not limited to oversight, updating information, and coordination of new system features and UAT.
- Assist in the coordination and tracking of regulatory examinations and internal audits.
- Maintain policy inventory across the Americas Division and ensuring policy repository metadata is accurate and current.
- Assist with the creation of senior level presentation materials.
- Point person for team’s management of policy related Audit, Monitoring and Testing Issues Tracker.
- Assist with policy and procedures development, editing and socializing material with relevant stakeholders.
- Other tasks as assigned, to include assisting Compliance Policy team members with projects, tasks, and deliverables.
Qualifications
- 3+ years in financial services environment, with an emphasis on compliance and/or risk management experience.
- Advanced Microsoft Excel (with the ability to work with complex formulas and management of large amounts of data) and strong PowerPoint proficiency is required.
- Project management and/or process improvement.
- Experience developing policies and procedures with emphasis on writing and editorial skills preferred but not required.
- Excellent time management skills with a proven ability to meet deadlines.
- Strong organizational and written communication skills, with ability to communicate effectively with all levels of support and business partners.
- Ability to resolve conflicting requests and meet changing requirements while managing multiple priorities independently and/or in team environment.
- Judgment in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.