Corporate Compliance Monitoring & Testing Analyst

Corporate Compliance Monitoring & Testing Analyst

SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history of banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide across nearly 40 countries.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. The Group offers a range of commercial and investment banking services to corporate, institutional, and municipal clients, supported by a global network.

The anticipated salary range for this role is between $72,000 and $87,000. The salary will be based on individual qualifications, experience, and market competitiveness. The role may also be eligible for an annual discretionary incentive award. SMBC offers a competitive portfolio of benefits.

SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst for Compliance Monitoring and Testing. The analyst will support the monitoring and testing program and serve as a team member for monitoring and testing engagements in New York Branch (SMBC's NYB). The candidate should have familiarity with financial services and a willingness to learn.

• Supports monitoring and testing activities for New York Branch.
• Serves as a tester for all facets of compliance monitoring and testing engagements.
• Assists in the development and refinement of monitoring and testing scripts.
• Prepares information requests and announcement memoranda.
• Performs assigned field work to validate the efficacy of internal controls and risk mitigants.
• Assists in compiling comprehensive and cohesive work papers in accordance with department standards and methodology.
• Helps identify underlying issues and escalation/validation thereof with clients.
• Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts.
• Assists in the consolidation and reporting of results within local and Head Office reporting.

• Bachelor’s Degree required.
• Excellent academic record.
• 1-3 years of working experience or 1-2 years of internship experience in the financial services field and knowledge of FRB regulations, a plus.
• Strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner.
• Demonstrates sound judgement, political astuteness, and sensitivity to cultural diversity.
• Solid interpersonal and written and verbal communications skills to successfully interface with all levels of management and maintain solid working relationships.
• Maintaining a compliance risk mindset to understand underlying regulatory risks and ability to identify control weaknesses to properly mitigate such risks.
• Strong analytical skills, highly organized, detail oriented, self-driven, and motivated.
• Advanced Word, Excel, and PowerPoint skills and ability to quickly learn new software applications.

SMBC’s employees participate in a hybrid workforce model that provides opportunities to work from home as well as from SMBC offices. Employees must live within a reasonable commuting distance of their office location. Hybrid work may not be permitted for certain roles, such as FINRA‑registered positions requiring in‑office attendance for the entire workweek.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities in accordance with applicable law. If you need a reasonable accommodation during the application process, please let us know at