Conduct Management - Director

 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

Conduct Management Officer will report to the Head of Conduct Risk and Culture with responsibility for assisting with the development and maintenance of a centralized regional control framework to mitigate conduct risk, the advancement of program initiatives, and advisory services. 

This role involves supporting the strategic oversight and maintenance of an Americas Division Conduct Risk and Culture Program, in partnership with multiple stakeholders across the firm. The Program scope includes conduct management including policy  breach and sales practices management, as applicable to SMBC Americas Division. The role requires contribution to the enhancement and maintenance of policy, procedures, processes and controls; creation of training and communications content; contribution to the development and monitoring of KRIs and metrics; supporting risk assessment and testing exercises; employee engagement initiatives; and providing advice and guidance to first- and second-line groups. 

Role Objectives

• Support and facilitate execution of Conduct Management program, including taking a leadership role  in enhancing policies, procedures, processes and controls. Drive consistent implementation of Conduct Risk framework across the Americas Division.  
• Mange the conduct risk identification, development, monitoring and analysis of program KRIs, metrics and management reporting. 
• Participate in the management of Culture & Conduct-related communications and employee engagement initiatives and embedding strategy, in coordination with relevant stakeholders/process participants 
• Contribute to governance initiatives. 
• Provide advice and guidance to stakeholders on matters involving conduct risk, consistently applying firm standards, and incorporating regulatory expectations and best practices. 
• Identify risks, issues and escalate as appropriate.  
• Ensure timely remediation of control issues, such as actions resulting from internal audits or other testing program. 
• Support timely execution of risk assessment exercises. 
• Monitoring and track progress of completion for project deliverables. 

Qualifications and Skills

• Experience in financial services in a Compliance or other risk and control function and understanding of key financial services issues. 
• Ability to deliver high quality work product in a fast paced environment. 
• Strong stakeholder managements skills, including ability to build and maintain relationships with a wide range of key stakeholders across first- and second-line groups. 
• Expertise in Compliance program management including but not limited to developing and drafting policies, procedures, communications, and training content and producing analytical management reporting. 
• Sound judgment with unwavering integrity and commercial acumen. 
• Ability to identify opportunities for enhancement to processes and program framework. 
• Strong written and verbal communication skills, analytical skills and organizational ski