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Planning, Strategy and Information Services Analyst
 Sumitomo Mitsui Banking Corporation (SMBC) | |
remote work
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 United States, New York, White Plains | |
 April 25, 2024 | |
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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 Rail Services LLC, Manufacturers Bank, 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 $69,000.00and $100,000.00. 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
Monitor business transactions and communications with robust surveillance framework to screen for possible misconduct. Continuously analyze data outputs to probe questionable activity and identify cases of misconduct. Design and engage internal channels to escalate misconduct to relevant stakeholders. Role Objectives: Delivery
Administer and maintain surveillance tools to monitor business transactions and communications. Screen for potential breaches per defined tolerance thresholds. Probe all instances of potential breaches and perform due diligence to investigate underlying causes. Prepare reports summarizing breach findings and proposed remediation actions for review by senior compliance management. Facilitate the implementation of new surveillance tools and/or methodologies to covered business units where applicable. Role Objectives: Interpersonal
Identify and maintain relationships with colleagues in adjacent control functions, including business line compliance, HR and risk management, to drive better collaboration in the execution of surveillance controls and investigations of suspicious activity. Seek out opportunities to improve visibility with business stakeholders, such as department meetings, town halls and social gatherings. Attend industry roundtables and other forums to make connections and broaden network with counterparts at other firms. Align with counterparts in other regions or business verticals to identify emerging themes and to share best practice. Role Objectives: Expertise
Apply understanding of surveillance framework and covered business unit in execution of timely and robust surveillance controls. Demonstrate awareness of broader surveillance landscape and key areas of risk in the preparation of crisp, comprehensive management reports summarizing potential findings detected through surveillance channels. Identify possible themes for review by surveillance management. Engage knowledge of internal escalation channels and investigation protocols to facilitate efficient and timely handling and assessment of suspicious activity. Leverage network of internal colleagues and external counterparts to stay current on industry themes and developments. Qualifications and Skills
Recommended years of experience: 0 Additional Requirements 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. We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com. | |