Director of Compliance Technology
Job Locations
US-NY-White Plains
Posting Date
6 days ago(6/21/2023 2:08 PM)
Career Category |
Information Technology
|
iCIMS ID |
2023-14513
|
Corporate Title |
DIR
|
Type |
Fulltime-Regular (Exempt/Non-Exempt)
|
Overview
SMBC is in the process of leading a Digital Transformation across our Americas Division as we continue to modernize our technology, focus on our data driven approach, grow and plan for the future. As a result of this expansion, we are seeking an experienced Technology Manager to build and lead our Compliance Technology initiatives. In this position you will have an opportunity to run several projects, working with stakeholders to understand requirements, data sources, and priorities. You will help shape and deliver the strategic vision for your organization and the system architecture. The anticipated salary range for this role is between $180,000 and $237,000. 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.
Responsibilities
Manage development and integration of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer (Securities) buinsesses.
- Coordinate and manage a portfolio of projects and activities, providing transparency of progress against the strategic roadmap
- Lead projects from initial discovery phase through to final implementation, ensuring responsibilities are clear and milestones are being met according to plan.
- Support of program and business strategies and objectives: resource and demand planning, change and resource management processes
- Coordination and management of key senior meetings to present updates, emerging risks and manage action items
- Develop and execute on proofs of concept on initiatives that address Compliance project goals.
- Create information flow among Project team members and stakeholders across legal entities
Qualifications
- 10+ years of professional experience at large banks with a focus on Compliance technology.
- 7+ years of professional experience with a focus in portfolio, program and/or change management.
- Subject matter expertise in Compliance technology including Transaction Monitoring, KYC, Trade and Communications surveillance, Fraud, Employee Trading, and/or Sanctions Screening
- Experience with systems and processes to comply with industry regulators (e.g. NFA, CFTC, FINRA, Fed)
- Knowledge of Agile development management using tools such as Jira, Confluence and git
- Ability to successfully engage in multiple initiatives simultaneously while interacting professionally with executives, managers, and subject matter experts
- Ability to establish a new system; carry out planning, design and implementation in an agile fast moving environment and see through it as a matured production system.
- Ability of manage a team of developers and vendors on delivery the system solution
- Experiences on building connectivity and interfaces between various system solution.
- Highly developed sense of accountability and follow-through with an ability to effectively prioritize multiple tasks, projects and goals
- Ability to understand complex and highly technical concepts, and ability to easily explain/translate them to peers
- Experience managing 3rd party vendors on licensing and professional services for the implementation of new platforms
- BA/BS degree required
- Excellent verbal and written communication skills
|