Vice President, Communications Surveillance, Corporate Compliance
Sumitomo Mitsui Banking Corp - Jersey City, New Jersey, United States, 07390![Sumitomo Mitsui Banking Corp](/api/image?src=https%3A%2F%2Fgeneral-board-default.s3.us-east-2.amazonaws.com%2Fpublic%2Fimages%2Fdesk-360x180.webp&w=640&q=75&f=webp)
Work at Sumitomo Mitsui Banking Corp
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Overview
Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate. This role is responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events. The candidate will need to consider FRB, FINRA, SEC and CFTC rules, as well as internal policies.Role Objectives
Timely review of incoming/outgoing electronic and voice communications.Identifying electronic and voice communications that require further investigation and escalating to an appropriate line of business supervisors or control function, accompanied by appropriate documentation to support the escalation.Staying abreast of relevant regulations, industry best practices, and internal policies.Supporting ad-hoc special investigations at the direction of management.Participating in projects to expand, improve, and refine the electronic and voice communications surveillance program for the Americas Division.Qualifications and Skills
Working knowledge of systems used for electronic message and voice recording reviews.Experience with Surveil-X is desired.Prior work experience in the financial industry.Experience in MS Excel required.Fluency in Spanish and/or Portuguese required.Additional Requirements
D&I CommitmentResponsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.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.
We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.