SMBC would like to hire a Senior Compliance Program Manager who would be responsible for the execution of tasks to support senior management within the Americas Division Compliance Department (i.e., Compliance Administrative Officer and Chief Compliance Officer).

• Assist with the management and oversight of the Americas Division Compliance Department (CPAD).
• Provide broad support to the Compliance Administrative Office to assist with the ongoing responsibilities of the Office, including but not limited to:
• Identification of key areas for improvement;
• Preparation of plans to support key strategic initiatives;
• Proactive management of regulatory issues with relevant stakeholders;
• Close partnership with SMEs to determine broad implications of regulatory changes and industry events;
• Analyze and synthesize important Compliance trends, and escalate as appropriate;
• Support stakeholders on special projects and program buildouts (e.g., ESG and Privacy);
• Facilitate reporting to the Board and Senior Management, ensuring their needs and concerns are appropriately addressed and that information is both timely and accurate.
• Liaise with the Corporate Secretary and Regulatory Relations teams to:
• Maintain a clear view of upcoming regulatory and Board deliverables and ensure relevant stakeholders action as appropriate;
• Provide strategic guidance and advice on regulatory engagements and Board deliverables;
• Prepare stakeholders for engagements with regulators and Board members;
• Develop a robust understanding of the Department's regulatory and Board priorities, to ensure that they are fulfilled as necessary;
• Develop an understanding of the broader regulatory landscape to keep stakeholders updated on trends and expected changes.
• Support engagement with Internal Audit and advise on related action plans.
• Draft and review communications tailored to the applicable audience from Department leaders.
• Assist with drafting and implementing policies and procedures to improve the Department's efficiency.
• Promote organizational culture and work to improve the overall health of the organization through employee engagement, collaboration and values alignment.
• Build relationships and collaborate with teams across the firm to achieve SMBC's goals.

• 5-10 years of experience in financial services, law, consulting or a related field;
• Strong communication skills including the ability to synthesize information complex ideas in a clear and concise manner;
• Proven ability to manage multiple and often competing priorities with a track record of successful execution;
• Proficient with MS Suite - Excel, Word, PowerPoint, SharePoint;
• Bachelor's Degree required - Masters or JD are preferred.

D&I Commitment

Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

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