Director, Americas Human Resources & Legal Control Officer

Role Description

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 Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

Job Summary

The SMBC Americas Division Human Resources & Legal Control Officer is a change agent and risk management expert within the first line of defense. The role provides the HR and Legal functional areas with expert guidance on processes and control design, ensures effective assessment of non-financial risk across the broader operating environment, and supports interaction between the functional areas and the Second Line of Defense, including Risk Management and Compliance.

This is a newly created position to strengthen the control environment in a context of fast-paced business growth. The role reports to the Head of the Functions Vertical of the SMBC AD Control Office.

Primary Responsibilities

• Provides expert guidance on non-financial risk management to the HR and Legal functional areas, including operational risk identification, assessment, monitoring and mitigation, in compliance with applicable laws, rules, and regulations;
• Leads and facilitates the execution of the first-line Risk & Control Self-Assessment (RCSA) for HR and Legal across several legal entities in the Americas;
• Performs process mapping and re-engineering to improve efficiency and strengthen controls across the HR and Legal functional areas within the Americas Division;
• Coordinates and supports interactions with Second Line of Defense (Risk Management, Compliance), Internal Audit, and regulators pertaining to processes and controls;
• Oversees implementation of risk management frameworks by functional areas, and support the development of policies and procedures;
• Leads risk & control awareness efforts for HR and Legal to ensure that risk management considerations are embedded in daily processes and business strategy, disseminating best-practice guidance;
• Designs, implements and assesses key metrics (e.g., key risk indicators) and control monitoring/testing routines to ensure operational effectiveness;
• Provides advisory support in control-related strategic initiatives, remediation efforts and projects;
• Assists functional areas in the proactive identification and creation of management observations, and in the incident reporting process, including root cause analysis;
• Produces periodic management reporting, and presents escalation items to senior management and governance meetings.

Qualifications and Skills

• Minimum of 7-10 years of experience in operational risk management, compliance, audit, or other control-related functions within the financial services industry, preferably at a large banking institution or consultancy;
• Proven experience in the identification, assessment and management of key non-financial risks and controls, including experience in the design and execution of control assessments and continuous process improvement practices;
• Solid understanding of U.S. compliance laws, rules and regulations (e.g., FRB, SEC, FINRA, NFA, FDIC);
• Strong leadership, communication, and ability to drive change and consensus across functions in a complex regulatory and financial environment;
• Demonstrated ability to manage multiple tasks and initiatives effectively, leveraging prior project management experience, strong analytical skills, and proficiency in Microsoft Office applications (Excel, PowerPoint, Word);
• Bachelor’s degree required; master’s degree preferred. 

Additional Requirements

SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to workfrom home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commutingdistance of their office location. Prospective candidates will learn more about their specific hybrid work scheduleduring their interview process. Hybrid work may not be permitted for certain roles, including, for example, certainFINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent withapplicable federal, state, and local law. If you need a reasonable accommodation during the application process,please let us know at accommodations@smbcgroup.com.