SMBC Group
Overview
Role Description The Director, IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change agent and risk management expert within the first line of defense. The role provides the Information Technology functional areas with expert guidance on processes and control design, ensures effective assessment of technology risk across the broader operating environment, and supports interaction between Front Office Control Officers and AD-wide IT Control Officers. Assessments and monitoring of the control environment will be across information technology functions within the Capital Markets/Nikko divisions, including System Development, Change Management, Application Support, IT Project Management, and Infrastructure. The IT FCO serves as a trusted advisor to the CM Nikko Chief Information Officer and their teams, driving a culture of accountability and control excellence. Role Objectives
Support risk & control assessments within 1LoD, working closely with Risk Management, Compliance, Internal Audit, and peer Control Officers supporting CM/Nikko Front Office and AD IT. Establish, monitor, and report on key risk indicators (KRIs) and control effectiveness metrics. Support Group Company IT Function-owned issue management and incident analysis. Collaborate with Front Office Control Officers and AD-wide IT Control Officers to ensure consistent risk management. Drive initiatives for control automation, rationalization, and standardization. Support local IT control identification to comply with regulations (e.g., Swap Dealer recordkeeping, SEC and FINRA WORM compliance, FRB/OCC/FDIC Disaster Recovery testing). Prepare and present risk and control dashboards to senior management and governance committees. Promote a strong risk and control culture through training and awareness programs. Qualifications And Skills
Bachelor’s degree required; advanced degree (MBA, JD, or MS) preferred. 10+ years of professional experience in IT risk management, IT compliance, IT audit, or other IT control-related functions within the financial services industry, preferably at a large banking institution or consultancy. Extensive prior experience managing business-level risks impacting IT organizations, such as critical business service disruption caused by technology service failure, IT asset management and end of life risk, system development and acquisition risk. In-depth understanding of Technology organizations and industry best practices in IT risk management as it relates to a specific business line. Proven experience in the identification, assessment and management of key information technology risks and controls, including experience in the design and execution of control assessments and continuous process improvement practices. Strong understanding of regulatory frameworks (e.g., FRB, SEC, FINRA, NFA, CFTC, OCC). Strong analytical, leadership, communication, and stakeholder engagement skills to drive change and consensus across functions in a complex regulatory and technology environment. Demonstrated ability to manage multiple tasks and initiatives effectively, leveraging prior project management experience, strong analytical skills, and proficiency in Microsoft Office applications (Excel, PowerPoint, Word). 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. 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 accommodations@smbcgroup.com. Seniority level
Not Applicable Employment type
Full-time Job function
Information Technology Industries
Banking, Financial Services, and IT Services and IT Consulting Referrals increase your chances of interviewing at SMBC Group by 2x ASSISTANT DIRECTOR OF INFORMATION TECHNOLOGY – Charlotte, NC Charlotte, NC $150,000.00-$175,000.00 Other related roles and listings in Charlotte, NC are shown below for context.
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Role Description The Director, IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change agent and risk management expert within the first line of defense. The role provides the Information Technology functional areas with expert guidance on processes and control design, ensures effective assessment of technology risk across the broader operating environment, and supports interaction between Front Office Control Officers and AD-wide IT Control Officers. Assessments and monitoring of the control environment will be across information technology functions within the Capital Markets/Nikko divisions, including System Development, Change Management, Application Support, IT Project Management, and Infrastructure. The IT FCO serves as a trusted advisor to the CM Nikko Chief Information Officer and their teams, driving a culture of accountability and control excellence. Role Objectives
Support risk & control assessments within 1LoD, working closely with Risk Management, Compliance, Internal Audit, and peer Control Officers supporting CM/Nikko Front Office and AD IT. Establish, monitor, and report on key risk indicators (KRIs) and control effectiveness metrics. Support Group Company IT Function-owned issue management and incident analysis. Collaborate with Front Office Control Officers and AD-wide IT Control Officers to ensure consistent risk management. Drive initiatives for control automation, rationalization, and standardization. Support local IT control identification to comply with regulations (e.g., Swap Dealer recordkeeping, SEC and FINRA WORM compliance, FRB/OCC/FDIC Disaster Recovery testing). Prepare and present risk and control dashboards to senior management and governance committees. Promote a strong risk and control culture through training and awareness programs. Qualifications And Skills
Bachelor’s degree required; advanced degree (MBA, JD, or MS) preferred. 10+ years of professional experience in IT risk management, IT compliance, IT audit, or other IT control-related functions within the financial services industry, preferably at a large banking institution or consultancy. Extensive prior experience managing business-level risks impacting IT organizations, such as critical business service disruption caused by technology service failure, IT asset management and end of life risk, system development and acquisition risk. In-depth understanding of Technology organizations and industry best practices in IT risk management as it relates to a specific business line. Proven experience in the identification, assessment and management of key information technology risks and controls, including experience in the design and execution of control assessments and continuous process improvement practices. Strong understanding of regulatory frameworks (e.g., FRB, SEC, FINRA, NFA, CFTC, OCC). Strong analytical, leadership, communication, and stakeholder engagement skills to drive change and consensus across functions in a complex regulatory and technology environment. Demonstrated ability to manage multiple tasks and initiatives effectively, leveraging prior project management experience, strong analytical skills, and proficiency in Microsoft Office applications (Excel, PowerPoint, Word). 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. 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 accommodations@smbcgroup.com. Seniority level
Not Applicable Employment type
Full-time Job function
Information Technology Industries
Banking, Financial Services, and IT Services and IT Consulting Referrals increase your chances of interviewing at SMBC Group by 2x ASSISTANT DIRECTOR OF INFORMATION TECHNOLOGY – Charlotte, NC Charlotte, NC $150,000.00-$175,000.00 Other related roles and listings in Charlotte, NC are shown below for context.
#J-18808-Ljbffr