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SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history. It offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group operates over 130 offices worldwide with more than 80,000 employees across nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG), the holding company of SMBC Group, is one of Japan's three largest banking groups, with shares traded on the Tokyo, Nagoya, and NYSE (SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Supported by the capital strength of SMBC Group and its extensive Asian relationships, the Group provides a range of commercial and investment banking services to corporate, institutional, and municipal clients. It connects a diverse client base to local markets and its global network. Operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is $80,000 to $131,000, commensurate with qualifications and experience, and may include an annual discretionary incentive. SMBC also offers a competitive benefits portfolio.

Role Description

Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events, in accordance with FRB, FINRA, SEC, CFTC rules, and internal policies.

Role Objectives

1. Timely review of incoming and outgoing electronic and voice communications.
2. Identify communications requiring further investigation and escalate appropriately, with supporting documentation.
3. Stay informed on relevant regulations, industry best practices, and internal policies.
4. Support ad-hoc investigations as directed by management.
5. Participate in projects to enhance 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.
• Fluency in Japanese preferred.
• Experience with Surveil-X is desired.
• Previous experience in the financial industry.
• Proficiency in MS Excel is required.

SMBC offers a hybrid work model, allowing employees to work remotely and from office, subject to location and role requirements. Candidates will learn about specific schedules during interviews. Reasonable accommodations are available for applicants with disabilities. For accommodations during the application process, contact [emailprotected].