Head of Americas Control Room

Job Level: Executive Director

Job Function: Governance & Assurance

Location:

New York, NY, US, 10172

Employment Type: Full Time

Requisition ID: 4813

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 $213,000.00 and $270,000.00. 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

SMBC’s Compliance Department is seeking a highly experienced Head of Americas Control Room to oversee and enhance the firm’s Control Room function across the Americas. This role requires a deep understanding of conflicts management, regulatory risk, and the strategic execution of policies that support business integrity and regulatory compliance.

The successful candidate will lead the day-to-day operations of the Control Room, ensuring the effective implementation of information barriers, conflicts management, and regulatory monitoring processes. This role also involves advisory responsibilities, cross-border coordination, and strategic planning to continuously improve the Control Room framework.

The ideal candidate will have strong leadership experience in Control Room operations within a global financial institution and a demonstrated ability to manage regulatory risk, insider lists, and trading restrictions in a complex, multi-entity environment.

Role Objectives

Lead and manage the Americas Control Room, ensuring the effective implementation of policies, procedures, and controls related to information barriers and conflicts of interest.
Oversee insider lists and restricted lists, maintaining accurate records and ensuring compliance with regulatory and firm requirements.
Manage Wall Crossing procedures, ensuring that material non-public information (MNPI) is properly controlled and documented.
Review employee conflicts, including Outside Business Activities (OBAs), Personal Account Trading, and External Communications, ensuring adherence to compliance policies.
Engage with business leadership and front-office personnel, providing guidance on control room matters and regulatory requirements.
Conduct regular meetings with business unit management to proactively identify emerging compliance risks and evolving regulatory obligations.
Develop and implement surveillance measures to monitor control room effectiveness and identify potential risks.
Streamline operational processes to improve efficiencies and reduce reliance on manual workflows.
Support cross-border coordination to ensure compliance with global regulatory requirements and best practices.
Enhance the use of technology and data analytics to optimize control room operations.
Oversee Business Continuity Planning (BCP) assessments for the Control Room and ensure proper contingency planning.

Qualifications and Skills

Bachelor’s degree required; advanced degree or professional certifications (e.g., FINRA licenses, CRCM) preferred.
10+ years of regulatory compliance experience within broker-dealers or financial institutions.
Proven leadership experience in a Control Room or similar compliance function, preferably within a global financial institution.
Strong foundation in U.S., Canada, LatAm, and Cayman securities laws and broker-dealer operations.
Deep knowledge of conflicts management, insider trading regulations, and information barriers.
Excellent communication and stakeholder management skills, with the ability to convey complex regulatory concepts clearly.
Ability to strategize and execute Control Room policies across multiple entities and jurisdictions.
Experience managing automated Control Room technologies and working closely with Technology teams on compliance solutions.
High attention to detail, ability to manage multiple assignments, and a disciplined approach to monitoring and issue resolution.

#LI-RCH

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.