Associate, Counsel, Investigations

Job Level: Associate

Job Function: Governance & Assurance

Location:

New York, NY, US, 10172

Employment Type: Full Time

Requisition ID: 2929

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $96,000.00 and $175,000.00. 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.

Role Description

We are currently seeking an experienced attorney to join the Investigations team in the Legal Department.

Investigation roles with the Legal Department are responsible for providing a single functional resolution for all (non-HR) investigations for SMBC. The Investigations team covers a range of matters, including fraud, bribery, corruption, theft, financial accounting, internal accounting controls, or other unethical conduct or violation of laws or regulation. They manage intake and triage matter, conduct and coordinate investigative activity, drive action by internal risk and control owners, and author and present reports to appropriate stakeholders.

Role Objectives

In this role, you will:

Assist with investigations.
- Prepare for, and participate in, witness interviews.
- Prepare interview memoranda.
- Prepare chronologies.
Review documents.
Work with the investigators and other subject matter experts within the Legal Department in a timely and professional manner, as well as engage with all internal stakeholders as appropriate.
Prepare and present timely investigative and other reports to various internal stakeholders.
Identify issues and assess various legal and other risks
Collaborate with various internal stakeholders to recommend action plans to mitigate risk.
Maintain appropriate procedures for investigations, adapting as necessary to comply with legal developments and evolving best practices.

Qualifications and Skills

Skills

Strong organizational skills.
Excellent oral and written communication skills and interpersonal skills.
Ability to produce succinct and pertinent reporting.
Ability to prioritize competing demands.
Ability to work autonomously under pressure of tight deadlines.
Experience reviewing documents, including electronic communications.

Background

Attorney with 2-5 years of experience in investigative work at law firm, law enforcement or regulatory agency, or in-house.

SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.