Registrations Analyst

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 $72,000.00 and $87,000.00. 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 Registrations Analyst will report to the Head Registrations with responsibility to execute on the registrations process. This role offers exposure to all aspects of the registrations process that includes individual and firm registrations, employee lifecycle, continuing education (“CE”) program management.

Role Objectives

• Prepare U4, U5, BD and BR filings, Monthly Safe Harbor filings.
• Maintain associated persons (“AP”) list, licenses and supervisory reporting map.
• Review workflow queues and reports, e.g., FINRA Web CRD.
• Process fingerprinting and background check procedures.
• Coordinate study materials and regulatory examination preparation.
• Other duties as required.
  
  

Qualifications And Skills

• Undergraduate degree required.
• Approximately 1-3 years of relevant broker-dealer compliance and/or registrations experience, preferably within a financial services firm.
• Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting.
• Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs.
• Excellent written and verbal communication skills.
• Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics
  
  

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.