SMBC Group
Compliance Specialist (Monitoring and Testing)
SMBC Group, White Plains, New York, United States
Compliance Specialist (Monitoring and Testing)
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Compliance Specialist (Monitoring and Testing)
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SMBC Group . SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position is responsible for supporting the monitoring and testing program. This role will primarily support the planning and execution of monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls, with a focus on coverage for the New York Branch (SMBC's NYB). The candidate should have functional knowledge of applicable U.S. banking laws and regulations, familiarity with the U.S. regulatory environment, risk identification/mitigation, and managing the workflows for monitoring and testing engagements. Responsibilities
Support examiner-in-charge of Compliance Monitoring and Testing engagements. Assist in the development and refinement of monitoring and testing scripts. Assist in the preparation of information requests and Announcement Memorandums. Perform assigned field work to validate the efficacy of internal controls. Prepare cohesive work papers for each engagement in accordance with department standards. Identify underlying issues and escalate/validate them with stakeholders. Draft Issue Memorandums and Reports for issuance to management. Assist in the registration and tracking of identified issues and corrective action plans to validate remediation efforts. Stay abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework. Qualifications and Skills
5-7 years of Banking and Compliance Experience CRCM Certification (A Plus) Background in Compliance Testing, Bank Regulatory, or Internal Audit Ability to work independently on projects with minimal oversight Ability to learn quickly and dissect complex issues within a large financial institution Strong understanding of the US Regulatory Framework Excellent communication and written skills Ability to multi-task and perform work efficiently and timely Motivated and action-oriented Adaptable and able to evolve with Bank Transformation SMBC’s hybrid workforce model offers a mix of remote and office work. Employees must live within a reasonable commuting distance of their office location. Specific hybrid schedules will be discussed during the interview process. Some roles, including certain FINRA-registered roles, may require in-office attendance. SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable law. If you need an accommodation during the application process, please contact accommodations@smbcgroup.com. Note:
This description retains the core responsibilities, qualifications, and related information for the role. It does not include unrelated job postings or extraneous content.
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Join to apply for the
Compliance Specialist (Monitoring and Testing)
role at
SMBC Group . SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position is responsible for supporting the monitoring and testing program. This role will primarily support the planning and execution of monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls, with a focus on coverage for the New York Branch (SMBC's NYB). The candidate should have functional knowledge of applicable U.S. banking laws and regulations, familiarity with the U.S. regulatory environment, risk identification/mitigation, and managing the workflows for monitoring and testing engagements. Responsibilities
Support examiner-in-charge of Compliance Monitoring and Testing engagements. Assist in the development and refinement of monitoring and testing scripts. Assist in the preparation of information requests and Announcement Memorandums. Perform assigned field work to validate the efficacy of internal controls. Prepare cohesive work papers for each engagement in accordance with department standards. Identify underlying issues and escalate/validate them with stakeholders. Draft Issue Memorandums and Reports for issuance to management. Assist in the registration and tracking of identified issues and corrective action plans to validate remediation efforts. Stay abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework. Qualifications and Skills
5-7 years of Banking and Compliance Experience CRCM Certification (A Plus) Background in Compliance Testing, Bank Regulatory, or Internal Audit Ability to work independently on projects with minimal oversight Ability to learn quickly and dissect complex issues within a large financial institution Strong understanding of the US Regulatory Framework Excellent communication and written skills Ability to multi-task and perform work efficiently and timely Motivated and action-oriented Adaptable and able to evolve with Bank Transformation SMBC’s hybrid workforce model offers a mix of remote and office work. Employees must live within a reasonable commuting distance of their office location. Specific hybrid schedules will be discussed during the interview process. Some roles, including certain FINRA-registered roles, may require in-office attendance. SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable law. If you need an accommodation during the application process, please contact accommodations@smbcgroup.com. Note:
This description retains the core responsibilities, qualifications, and related information for the role. It does not include unrelated job postings or extraneous content.
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