Regulatory officer planning associate

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 $82,000.00 and $140,000.00. 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 Regulatory Relations and Public Policy Group ("RRPP") is dedicated to managing supervisory engagements and advising on governmental and regulatory strategy in support of SMBC's enterprise goals and business strategies. The Regulatory Relations team is the primary contact for regulatory interactions and exam management for U.S. regulators.

Role Description

The Regulatory Officer, Associate Planning works with the Regulatory Relations team to implement and execute SMBC's regulatory engagement framework and strategy in connection with its supervisory and prudential regulators.

Role Objectives

This role is responsible for supporting regulatory examination and/or advisory services including, but not limited to:

• Serving as Head Office liaison and coordinating Head Office reporting.

• Managing Regulatory Relations policies, standards and procedures .

• Maintaining the Regulatory Relations dashboard and preparing reports & presentation materials.

• Partnering with Advisory Services to develop briefing materials for senior stakeholders' regulatory engagements.

• Monitoring and tracking Regulatory Relations data including KPIs and CSI related information.

• Providing quality assurance and monitoring Regulatory Relations KPI.

• Enhancing Regulatory Relations tooling.

• Supporting broader LDAD management including collaborating with LDAD Legal Operations on budget management and other activities.

Qualifications and Skills

• Fluent Bilingual in Japanese/English strongly preferred.

• Bachelor's degree or equivalent required. Graduate degree recommended.

• At least 3 years of financial services experience at a regulator, bank or law firm. Prior experience with financial services regulator or FBO strongly preferred.

• Strong project management skills supporting examinations and regulatory projects for the financial services industry.

• General understanding of financial markets and financial services regulatory requirements

• Attention to detail with ability to complete work accurately and in a timely manner against strict deadlines.

• Proficient in organizing and tracking progress on multiple tasks and projects with strong follow through and time management skills.

• Ability to work independently under moderate supervision.

• Excellent analytical, verbal and written communication skills.

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 [email protected].

EOE, including Disability/veterans