Global Markets Client Lifecycle Administration - Data Analyst

SMBC Capital Markets, Inc. (CM) is a derivatives trading firm based in New York City, with offices in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange products such as rates & FX swaps, options & exotics as well as exchange traded products. SMBC Nikko Securities America, Inc.

is an SEC-registered, FRB-NY approved Primary Dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rule making Board (MSRB) trading securities and securities financing transactions (repurchase agreements, etc.). These entities provide coordinated services to our corporate and institutional clients as part of the SMBC Global Markets business unit.

The Global Markets (GM) Client Lifecycle Administration is under the Client Lifecycle Department, within the Chief Operating Office for the SMBC Global Markets Front Office. The team manages processes supporting various Front Office staff, the Credit Department and the Legal Department. Specifically managing trading limit validation, Front Office limit system processing, trade verifications, legal agreement verifications and other related processes.

This role will support the GM Client Lifecycle Administration team with creating/enhancing the control framework, processing documentation, project coverage, maintaining the day-to-day processes, and providing cross coverage under the GM Client Lifecycle group. This would include updating Credit Limits in the First Line trading system, reviewing trade terms, organizing processes amongst the group, supporting the trading desks in line with the firm’s governance protocols and initiatives to grow the business.

The individual will need to have strong communication skills, ability to write procedures, ability to work in a fast-paced working environment and adaptability to change as the process is refined.

This role will support the GM Client Lifecycle Administration team on-site out of our Charlotte, NC location with creating/enhancing the control framework, processing documentation, project coverage, maintaining the day-to-day processes, and providing cross coverage under the GM Client Lifecycle group. This would include updating Credit Limits in the First Line trading system, reviewing trade terms, organizing processes amongst the group, supporting the trading desks in line with the firm’s governance protocols and initiatives to grow the business.

The individual will need to have strong communication skills, ability to write procedures, ability to work in a fast-paced working environment and adaptability to change as the process is refined.

• Support the development and sustainability of process controls.
• Create and update desk procedures.
• Identify/support, test and implement Front-Line system changes for process efficiencies and system bugs.
• Assist in leading projects for various business lines, to support automation efforts, growth and effective processes for the First Line of Defense and to support the Second Line of Defense.
• Support the Credit Service underwriting group and Client Management facilitation group for trade readiness effort and on-going counter party coverage.
• Review cross-booking transactions and terms & condition checks on existing and new credit terms.
• Perform trade verifications checks against limit terms.
• Update various systems with limit/counter party credit details.
• Perform agreement validation checks.
• External Rating updates

• BA/BS required with concentration in finance or business.
• 1-3 years of relevant banking and/or agreement work experience.
• Understanding of derivatives and securities financing transaction product risks.
• Excellent verbal and written communication skills.
• Ability to operate independently in a fast-paced environment and critically review existing processes to strengthen governance and controls.
• Strong analytical skills with attention to detail.
• Proficient in Excel, Word and Power Point

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