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Compliance Quality Assurance Officer

Regional Recreation Corporation of Wood Buffalo

This is a Full-time position in New York, NY posted April 28, 2021.

Sumitomo Mitsui Banking Corporation
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Compliance Quality Assurance Officer
Job Locations US-NY-New York Posting Date 4 days ago (3/22/2021 9:12 PM) Career Category Compliance and Legal iCIMS ID 2021-9313 Corporate Title VP Type Fulltime-Regular
Overview

SMBC Group is seeking a Quality Assurance (Associate/Vice President) for the Monitoring and Testing Team within the Compliance Department Americas Division (“CPAD”).

This role will support the Quality Assurance activities, including obtaining support, documenting the support, identifying exceptions, and escalating exceptions and reporting findings to the Quality Assurance Lead. 

The results of the Quality Assurance Reviews will be utilized to: (a) monitor the overall M&T Program implementation, including Governance, to identify changes / improvements to the M&T Policy / Program, where possible; and (b) to ensure the Monitoring and Testing resources are educated in the expectations defined within the M&T Policy.

The scope of this function will encompass SMBC Group’s Americas Division, inclusive of SMBC Group’s wholesale and retail banking operations; U.S.

and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; U.S.

broker dealer and registered swap deal; and certain non-bank leasing subsidiaries/affiliate.

The successful candidate must have a strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner.

Demonstrates strong judgement, political astuteness, and sensitivity to cultural diversity.

The requirements listed below are skills and abilities that are required to achieve this standard.

Responsibilities
Supporting quality assurance reviews by ensuring all testing work papers and associated documentation are prepared appropriately in order to effectively communicate testing scope and results to management, senior management and business unit management;.

Confirming all required and pertinent detail has been documented in accordance with the Quality Assurance Check List, within the timeframes required; Assisting in the creation and tracking of Annual QA Plan; Assisting in the creation and maintenance of management reporting as well as the monitoring of open issues; and Other projects as required.

Qualifications
General compliance and/or audit-related experience with a foundational understanding of FINRA/SEC laws and regulations.

Strong interpersonal and communications skills to successfully interface with different stakeholders and maintain solid working relationships.

Maintaining a regulatory compliance risk mindset to understand underlying risks and weaknesses to properly mitigate such risks.

Technical competency of applicable laws and regulations (banking, securities and /or swap dealer) for application thereof during monitoring and testing quality assurance reviews is a plus.

Strong analytical skills and attention to detail.

Ability to work on multiple assignments and reprioritize as circumstances may dictate.

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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 Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
SMBC is an EO employer – M/F/Veteran/Disability