Corporate Compliance Program Governance - Associate

Role Description

SMBC is seeking an Associate to join the Compliance Governance team of SMBC Americas Division. This role contributes to the overall success of the Compliance Department by assisting with key processes to support effective operation of the department. Responsibilities for this position include supporting development and tracking of an Annual Compliance Plan, managing headcount reporting, and assisting with Compliance business continuity and capacity planning. The selected candidate will have an opportunity to gain exposure to broad areas of Compliance and will work closely with senior members of the department across multiple entities and business lines. This role will report into the Director of Compliance Governance.

Role Objectives

• Support development of the Annual Compliance Plan and the identification of strategic Compliance priorities in consultation with Compliance Department senior staff
• Track Annual Compliance Plan progress and prepare management reporting
• Maintain organizational charts of the department and track open roles
• Produce headcount and hiring metrics to support efficient decision-making around staffing
• Submit monthly reporting to Finance and Head Office on headcount forecasting
• Identify opportunities to optimize and automate current processes for headcount tracking
• Support the annual Staffing Needs Assessment exercise to evaluate current resources, including assisting with data collection and analysis, and preparing initial and final results for presentation to Compliance management
• Facilitate the annual budget process to identify expenses for the year in consideration of key risk areas, new initiatives, and overall Compliance strategy
• Assist with designing and maintaining Business Continuity Plans for Compliance
• Partner with the Location Strategy team on capacity planning for Compliance
• Provide support on ad hoc assignments, as necessary

Qualifications and Skills

• Minimum 4 years of experience in financial services
• Prior experience working in the compliance department of a large U.S. or foreign bank preferred
• Bachelor’s degree required, with advanced degree in Business Management, Accounting or related field preferred
• Excellent project management skills and a proven track record of successfully managing competing priorities and deadlines
• Highly detail-oriented and ability to manage large volumes of information
• Strong analytical, problem-solving, and organizational skills
• Strong written and verbal communication skills
• Time management skills, including the ability to prioritize and allot time across different tasks
• Collaborative mindset and commitment to work with and support colleagues
• Proficiency required in Excel (pivot table and reporting, power pivot, advanced conditional formatting, and data simulation) and in creating engaging PowerPoint presentations (creating and formatting templates, designing graphs and charts, creating interactive slideshows)
• Sound judgment in handling complex, confidential matters with integrity and professionalism

Additional Requirements

• D&I Commitment
• Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

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