Director, AD Operations Control Officer
Sumitomo Mitsui Banking CorporationAbout the role
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 $208,000.00 and $240,000.00. 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
The Operations Control Officer provides expert guidance to the Operations function on first-line process and control design, drives rigorous assessment of non-financial risks and controls, and leads effective engagement with senior Operations leadership, Risk Management, Compliance, and Internal Audit. Reporting to the Americas Division Control Office, this role operates with significant autonomy and manages a small team of experienced Control Officers.
Key Responsibilities
• Provide first-line expert guidance on non-financial risk management across Operations (e.g., Treasury Operations, Settlement Operations, Loan Services, Anti-Fraud Operations, and Client Onboarding).
• Own and execute the first-line Risk & Control Self-Assessment (RCSA) for Operations across applicable Americas Division legal entities, including scoping, facilitation, and documentation in the GRC tool.
• Evaluate the design and operating effectiveness of key controls, identify control gaps and residual risks, and develop practical, risk-based remediation recommendations in partnership with business owners.
• Oversee end-to-end issue management, including management observations, audit and regulatory findings, root cause analysis, action plan development, and validation of timely, sustainable remediation.
• Partner with Operations leadership to embed risk and control considerations into business strategy, change initiatives, process design, and day-to-day operations.
• Establish, monitor, and report key risk indicators (KRIs), key control indicators (KCIs), and related metrics to assess control performance, identify trends, and drive targeted actions.
• Serve as a primary point of contact for Second Line of Defense partners, Internal Audit, and Regulatory Relations on Operations control matters, ensuring timely, accurate, and well-governed responses.
• Lead, coach, and set standards for Control Officers supporting Operations, including quality review of assessments.
• Identify and assess emerging risks (e.g., volume growth, third-party/vendor dependencies, automation, model/technology change, and regulatory developments) and proactively recommend prioritized mitigating actions.
• Prepare and present clear, decision-ready risk and control materials for senior management forums and governance committees.
The responsibilities outlined above are not exhaustive and may be adjusted as business needs and organizational priorities evolve.
Qualifications and Skills
• 12+ years of experience in Operations risk management, business controls, audit, and/or compliance within mid-sized to large global financial institutions and/or consulting firms.
• Deep understanding of Middle Office and Back Office Operations processes supporting institutional clients (e.g., Sales & Trading and/or Corporate & Investment Banking).
• Demonstrated expertise with first-line risk frameworks (RCSA, issue management, control testing, and metrics), in
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