Overview
Sumitomo Mitsui Banking Corporation is hiring a Corporate Compliance Officer. This generalist will will support the Employee Compliance team with a focus on Personal Trading/Investing, Outside Business Activities, Political Contributions and Registrations.
The anticipated salary range for this role is between $79,000 and $128,000. 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
- Administer the system to approve employee trades, private investments.
- Understand and review system settings to ensure compliance with policy.
- Ensure approval of accounts, connectivity of data feeds from executing brokers, and disposition alerts.
- Administer the system to disclose and approve outside business activities and political contributions. Work with managers to document the rationale for approving/rejecting requests.
- Cross train and serve as a backup for other Compliance Officers.
- Prepare and distribute compliance reports to management.
- General ad hoc projects that arise as the result of change in regulations or business activities.
- Work with sensitive and confidential information.
Qualifications
- 3-5 years related work experience in employee compliance.
- Working knowledge of SEC and FINRA regulations.
- High degree of attention to detail.
- Excellence in organizational skills, multitasking and delivering quality assignments on time.
- Strong interpersonal, oral, and written communication skills.
- Proficiency in working with vendors to administer computer systems run in-house.
- Good computer skills in Word, Excel (pivot tables) and PowerPoint.
- Self-starter that is able to work independently and within a team environment.