Compliance Department, Conduct Risk Associate

Pay Competitive

Location:

New York/New York

Employment type:

Full-Time

Req#: 14755

Sumitomo Mitsui Banking Corporation is hiring a Conduct Risk Program Associate in the Ethics Office. This individual will be responsible for supporting the Conduct Risk Program and participate in driving initiatives which contribute to the management of conduct risk throughout the Americas Division.

The Ethics Office mission is to promote the firm’s cultural values and manage conduct risk throughout the Americas Division.

The anticipated salary range for this role is between $79,000 and $128,000. 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.

• Contribute to the development of content to support the key components of our Conduct Risk Program, including areas such as Environmental & Social Risk Management, Employee Breach Management, oversight of Sales Practices initiatives, and program governance.
• Develop training materials to support targeted and AD-level training initiatives and communication on Conduct Risk, Environmental & Social Risk Management and Breach Management.
• Collaborate with colleagues within the Ethics Office to incorporate the Conduct Risk elements into other programs within the Ethics Office.
• Work with stakeholders (e.g. HR, Compliance Department Policy Owners, Compliance Leadership) across the America Division to effectively manage applicable aspects of the Conduct Risk Program.
• Drive and organize certain Ethics Office program initiatives that form part of governance responsibilities.
• Participate in reviews of conduct risk via various control processes e.g., new product reviews, risk & control self-assessments, reported incidents etc.
• Perform monthly/quarterly data collection and reporting of metrics/Key Risk Indicators to measure the Conduct Risk program.
• Produce relevant reporting for senior management and Committees.
• Develop training materials to support Americas Division training initiatives and communication on Conduct Risk.

• Approximately 4-6 years of experience in a Compliance role, preferably within a financial services firm.
• Understanding of culture, conduct, and/or ethics risk management compliance programs.
• Excellent written and verbal communication skills.
• Strong technical skills, including demonstrated experience using PowerPoint, Excel and other tools to produce reports and manage data.
• Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs.
• Energetic, eager to learn new skills, and expand knowledge of compliance topics.

Sumitomo Mitsui Banking Corporation Group is a Japanese multinational banking and financial services institution headquartered in Yurakucho, Chiyoda, Tokyo, Japan.