Overview
Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate. This role is responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events. The candidate will need to consider FRB, FINRA, SEC and CFTC rules, as well as internal policies.
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
- Timely review of incoming/outgoing electronic communications.
- Identifying electronic communications that require further investigation and escalating to an appropriate line of business supervisors or control function, accompanied by appropriate documentation to support the escalation.
- Staying abreast of relevant regulations, industry best practices, and internal policies.
- Supporting ad-hoc special investigations at the direction of management.
- Participating in projects to expand, improve, and refine the electronic communications surveillance program for the Americas Division.
Qualifications
- Working knowledge of systems used for electronic message reviews.
- Prior work experience in the financial industry.
- Experience in Excel required.
- Fluency in Japanese, Portuguese, or Spanish is desired.