The anticipated salary range for this role is between $137,000.00 and $178,000.00. 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
The Employee Compliance Officer will join a team that is responsible for implementing the firm’s policies on personal trading and investments, outside business activities, political contributions, and certifications and attestations.
This position reports to the Head of Employee Compliance in the SMBC Americas Division.
Role Objectives
- Play a lead role with implementing employee compliance policies, in conformance with written procedures.
- Perform daily activities related to the management of these policies.
- Provide thought leadership for program improvements, including ideas for automation.
- Review and update written policies and procedures to comply with internal requirements.
- Prepare program updates for meetings with senior management, governance committees, Regulators, and other key stakeholders.
- Respond to requests from Internal Audit, regulatory requests and other inquiries related to the program.
- Generate metrics / KRI's and other reporting that will be provided to governance forums on behalf of the program.
- Investigate potential employee breaches.
- Timely escalate high-risk requests for a second review, including any evidence of non-compliance with company policies warranting an internal investigation.
- Review Employee Compliance inquiries for potentially reportable events.
- Manage and mentor one or more junior staff.
- Monitor systems for indications of data-feed failures or other system issues.
- Support first line Business Units with respect to the program.
- Embody a culture of compliance in all activities and interactions.
Qualifications and Skills
- Experience in designing, implementing, and managing Compliance programs related to PAD, OBA, political contributions, and certifications / attestations.
- Experience with a PAD vendor solution, including one that receives broker feeds.
- Effective and diplomatic negotiation skills, a proactive approach in communicating issues and strength in sustaining independent views.
- Articulate and effective communicator with an energetic and approachable style. Values teamwork and collaboration with stakeholders.
- Strong leadership and management skills.
- Experience with various FINRA rules (e.g., 3210, 3270, 3280).
- Experience in managing junior staff a plus.
- FINRA registration a plus.
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