SMBC Group
Regulatory Officer (Advisory), Vice President
Regulatory Officer (Advisory), Vice President
– Join SMBC Group as a senior leader responsible for managing regulatory engagements and advising on governmental and regulatory strategy. SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400‑year history and offers a diverse range of financial services worldwide.
Salary Range:
$139,000 – $200,000 per year, plus potential discretionary incentive award.
Role Description The Regulatory Relations and Public Policy Group (RRPP) manages supervisory engagements and advises on regulatory strategy for SMBC. The VP, Regulatory Officer works with the Regulatory Relations Advisory team to implement SMBC’s regulatory engagement framework for supervisory and prudential regulators, primarily U.S. regulators.
Role Objectives
Serve as an advisor to SMBC business and functional departments on financial and risk management topics related to regulatory engagements.
Assist with exam preparedness and responses, including pre‑exam activities, gap assessments, and effective review.
Synthesize regulator expectations and stakeholder information to provide feedback and identify emerging regulatory trends.
Ensure accurate, timely data and documentation for updates and reporting to senior management.
Contribute to and support Regulatory Relations Advisory priorities, adopting a proactive and strategic approach to regulatory engagement.
Qualifications and Skills
Bachelor’s degree or equivalent required; graduate, law, or business degree preferred.
At least 5 years of experience in financial services at a regulator, bank, law firm, or financial services regulator (FBO) preferred.
Working knowledge of financial services supervision and risk management (liquidity, credit, model risk) is a plus.
Strong analytical skills, judgment, and ability to analyze evolving regulatory landscape.
Excellent project, relationship, collaboration, and influencing skills.
Understanding of financial markets and regulatory requirements for banking business.
High attention to detail and ability to manage multiple priorities within strict deadlines.
Capability to work independently with limited supervision and collaborate with team members.
Excellent communication skills.
SMBC’s employees participate in a hybrid workforce model that allows work from home and SMBC office. Prospective candidates will learn more about the specific hybrid schedule during the interview process. Hybrid work may not be permitted for certain roles, including some FINRA‑registered positions that require in‑office attendance the entire week.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities in accordance 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.
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– Join SMBC Group as a senior leader responsible for managing regulatory engagements and advising on governmental and regulatory strategy. SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400‑year history and offers a diverse range of financial services worldwide.
Salary Range:
$139,000 – $200,000 per year, plus potential discretionary incentive award.
Role Description The Regulatory Relations and Public Policy Group (RRPP) manages supervisory engagements and advises on regulatory strategy for SMBC. The VP, Regulatory Officer works with the Regulatory Relations Advisory team to implement SMBC’s regulatory engagement framework for supervisory and prudential regulators, primarily U.S. regulators.
Role Objectives
Serve as an advisor to SMBC business and functional departments on financial and risk management topics related to regulatory engagements.
Assist with exam preparedness and responses, including pre‑exam activities, gap assessments, and effective review.
Synthesize regulator expectations and stakeholder information to provide feedback and identify emerging regulatory trends.
Ensure accurate, timely data and documentation for updates and reporting to senior management.
Contribute to and support Regulatory Relations Advisory priorities, adopting a proactive and strategic approach to regulatory engagement.
Qualifications and Skills
Bachelor’s degree or equivalent required; graduate, law, or business degree preferred.
At least 5 years of experience in financial services at a regulator, bank, law firm, or financial services regulator (FBO) preferred.
Working knowledge of financial services supervision and risk management (liquidity, credit, model risk) is a plus.
Strong analytical skills, judgment, and ability to analyze evolving regulatory landscape.
Excellent project, relationship, collaboration, and influencing skills.
Understanding of financial markets and regulatory requirements for banking business.
High attention to detail and ability to manage multiple priorities within strict deadlines.
Capability to work independently with limited supervision and collaborate with team members.
Excellent communication skills.
SMBC’s employees participate in a hybrid workforce model that allows work from home and SMBC office. Prospective candidates will learn more about the specific hybrid schedule during the interview process. Hybrid work may not be permitted for certain roles, including some FINRA‑registered positions that require in‑office attendance the entire week.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities in accordance 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.
#J-18808-Ljbffr