Compliance Policy Manager

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 MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.


The anticipated salary range for this role is between $137,000.00 and $200,000.00. 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
Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our Compliance Department Policies Team. In this highly visible role, you’ll collaborate closely with subject matter experts (SMEs) and senior stakeholders within the Americas Division (AD) to develop, communicate, and manage compliance policies that support our strategic objectives. You’ll also lead key policy initiatives, represent the policy team on special projects, and actively drive remediation, transformation, and effective policy implementation across the firm.


This role provides extensive exposure to diverse business lines and corporate functions, making it an excellent opportunity for career growth and professional development. The ideal candidate will be skilled at creating clear, concise, and impactful policies tailored to a business audience, adept at managing multiple stakeholders, and capable of driving consensus to deliver high-quality results.

Role Objectives
Collaborate closely with SMEs to draft, refine, and finalize clear, comprehensive compliance policy documents adhering to regulatory expectations and internal standards.
Manage the policy lifecycle from drafting through publication, and maintain records of all stages to demonstrate compliance with our internal processes and regulatory expectations.
Drive consensus among SMEs and other stakeholders during the policy review process.
Provide input regarding relevant rules, laws and regulations and evaluate current documents to identify gaps and ensure that they reflect regulatory requirements.
Draft communications to employees regarding new or updated Compliance Policies.
Coordinate with the Compliance Training Team for training development.
Help establish and maintain coordination with related compliance disciplines – e.g., regulatory change, risk assessment, management of controls library.
Provide ongoing quality control and editorial assistance for long-term maintenance of policies.
Review policies addressing related subject matter for consistency at the AD/CUSO level and identify opportunities for consolidation with SMBC Group company documents.
Respond to requests from regulators, the legal department, and internal audit and testing.
Other tasks as assigned, to include leading policy related projects and initiatives.
Qualifications and Skills
7+ years in financial services or international law firm, with an emphasis on regulatory compliance.
Experience developing policies and procedures and strong writing and editorial skills.
Excellent time management skills with a proven ability to meet deadlines.
Strong organizational and written communication skills, able to communicate effectively with all levels of support and business partners.
Ability to resolve conflicting requests and meet changing requirements while managing multiple priorities independently and/or in team environment.
Demonstrated solid judgment in handling complex and highly confidential matters; unquestionable character, integrity and professionalism.
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 accommodations@smbcgroup.com.

 

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