Director of Compliance- Head of Employee Regulatory Compliance

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 $198,000.00 and $240,000.00. 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 Head of Employee Compliance leads the day-to-day execution and continuous enhancement of the Employee Compliance Program across SMBC’s Americas Division. Reporting to the Head of the Ethics Office, this role is the program owner and subject matter expert responsible for designing, operating, and maturing the control framework that helps employees meet firm and regulatory expectations.

This leader drives a high-impact portfolio spanning employee registrations and licensing, personal trading and investment account monitoring, outside business activities, political contributions, and related conflicts of interest and conduct topics. The role partners closely with the Front Office, Operations, HR, Technology, Internal Audit, and Monitoring & Testing to ensure processes are efficient, data is reliable, risks are identified early, and issues are escalated with appropriate judgment.

In addition to running the program, the role brings a forward-looking mindset, using metrics, root-cause analysis, and automation to strengthen controls, improve the employee experience, and keep pace with evolving regulatory and business expectations.

Role Objectives

• Own and lead the Employee Compliance Program across the Americas Division, serving as the primary escalation point for complex matters and sensitive decisions.
• Manage and develop a team of managers and professionals responsible for core program areas including employee registrations, personal trading, outside business activities, and political contributions.
• Set program strategy and priorities in partnership with the Head of the Ethics Office, translating risk themes into a clear annual plan and measurable outcomes.
• Strengthen the control environment by defining standards, procedures, and escalation thresholds; ensuring consistent execution and timely remediation of issues.
• Build a metrics-driven program by establishing and monitoring key indicators (e.g., timeliness, quality, exception trends, control effectiveness) and using insights to continuously improve.
• Drive process and productivity improvements through simplification, targeted automation, and pragmatic change management—reducing friction while increasing control effectiveness.
• Partner across the firm (Front Office, Technology, Compliance, HR, Operations, and Legal) to solve problems quickly, influence decisions, and deliver aligned outcomes.
• Ensure readiness for audit and testing by maintaining strong documentation, evidence, and issue management discipline; coordinate effectively with Internal Audit and Monitoring & Testing.
• Oversee third-party and vendor support where applicable, including service performance, controls, and adherence to third-party risk management requirements.
• Lead with high standards—mentoring talent, providing clear feedback, and fostering a culture of accountability, integrity, and sound judgment.

Qualifications and Skills

• 10 years of relevant experience in employee compliance, an ethics office, or a closely related compliance function within a financial services environment.
• Proven people leader with experience building, coaching, and retaining strong teams; able to create clarity, accountability, and high performance.
• Deep program ownership mindset—able to run a large control program end-to-end (policy/process design, execution, governance, metrics, issue management).
• Strong working knowledge of employee compliance risk areas (e.g., personal trading, outside business activities, political contributions, registrations/licensing) and how these intersect with conflicts of interest and conduct risk.
• Exceptional judgment and discretion handling highly confidential matters with integrity and professionalism.
• Excellent stakeholder management and communication skills—able to influence at senior levels and translate complex topics into clear, practical guidance.
• Strong execution and project management capability—comfortable managing multiple priorities, deadlines, and cross-functional dependencies.
• Analytical and detail-oriented with the ability to identify trends, diagnose root causes, and implement sustainable fixes.
• Comfort with data and systems—able to partner with Technology, improve data quality, and leverage reporting/automation to enhance control effectiveness.
• Bachelor’s degree preferred; advanced degree a plus.
• FINRA registration a plus

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.