SMBC Group
Vice President, Regulatory Officer - Advisory
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. 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. The anticipated salary range for this role is between $139,000 and $200,000. 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 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. Role Description The VP, Regulatory Officer works with the Regulatory Relations Advisory team to implement and execute SMBC’s regulatory engagement framework and strategy relating to its supervisory and prudential regulators. Role Objectives Serve as an advisor to SMBC business and functional departments for financial and risk management topics in connection with regulatory engagements including regulatory examinations, routine continuous monitoring meetings, supervisory issue remediation, and other requests and interactions. Assist with exam preparedness and responses by facilitating pre-exam activities, coordinating gap assessments, and leveraging open issues. Synthesize regulator expectations and stakeholder information to provide feedback and identify emerging regulatory trends and themes from regulatory examinations, responses and engagements. Ensure regular, accurate and timely data and documentation to support updates and reporting to senior management and key stakeholders. Contribute to and support Regulatory Relations Advisory priorities and strategies including a proactive, strategic and holistic approach to regulatory engagement. Qualifications and Skills Bachelor’s degree or equivalent required. Graduate, law or business degree preferred. At least 5 years of financial services experience at a regulator, bank or law firm. Working knowledge of financial services supervision. Risk management, liquidity risk, credit risk, and or model risk experience is a plus. Strong analytical skills and solid judgment; an ability to identify and analyze the evolving regulatory landscape as well as regulatory issues, themes and trends. Strong project and relationship management, collaboration and influencing skills. Understanding of financial markets and regulatory requirements for banking business. High attention to detail with ability to manage multiple priorities, complete work accurately and in a timely manner against strict deadlines. Ability to work independently with limited supervision and to collaborate with team members and other stakeholders. SMBC Group is an equal opportunities employer and welcomes applications from diverse candidates.
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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. 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. The anticipated salary range for this role is between $139,000 and $200,000. 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 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. Role Description The VP, Regulatory Officer works with the Regulatory Relations Advisory team to implement and execute SMBC’s regulatory engagement framework and strategy relating to its supervisory and prudential regulators. Role Objectives Serve as an advisor to SMBC business and functional departments for financial and risk management topics in connection with regulatory engagements including regulatory examinations, routine continuous monitoring meetings, supervisory issue remediation, and other requests and interactions. Assist with exam preparedness and responses by facilitating pre-exam activities, coordinating gap assessments, and leveraging open issues. Synthesize regulator expectations and stakeholder information to provide feedback and identify emerging regulatory trends and themes from regulatory examinations, responses and engagements. Ensure regular, accurate and timely data and documentation to support updates and reporting to senior management and key stakeholders. Contribute to and support Regulatory Relations Advisory priorities and strategies including a proactive, strategic and holistic approach to regulatory engagement. Qualifications and Skills Bachelor’s degree or equivalent required. Graduate, law or business degree preferred. At least 5 years of financial services experience at a regulator, bank or law firm. Working knowledge of financial services supervision. Risk management, liquidity risk, credit risk, and or model risk experience is a plus. Strong analytical skills and solid judgment; an ability to identify and analyze the evolving regulatory landscape as well as regulatory issues, themes and trends. Strong project and relationship management, collaboration and influencing skills. Understanding of financial markets and regulatory requirements for banking business. High attention to detail with ability to manage multiple priorities, complete work accurately and in a timely manner against strict deadlines. Ability to work independently with limited supervision and to collaborate with team members and other stakeholders. SMBC Group is an equal opportunities employer and welcomes applications from diverse candidates.
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