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SMBC Group · 3 days ago

Associate, Broker-Dealer Private Side Compliance Advisory

New York, NY

Full-time

Hybrid

Mid Level

$82K/yr - $140K/yr

4+ years exp

SMBC Group is a top-tier global financial group offering a diverse range of financial services. The Compliance Advisory Associate role focuses on managing compliance risk and providing regulatory advice while supporting strategic planning and operational efficiencies within the firm.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Assists in providing regulatory and compliance advice, identifying training needs, preparing and providing training and conducting monitoring of relevant business units

Assists in providing advice on regulatory and compliance requirements to business unit staff so that they may conduct their business in conformance with regulatory requirements

Assists in providing regulatory guidance on establishing a reasonably designed supervisory system including to assist the front office in creating and updating written supervisory procedures

Participates along with senior team members in monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements

Supports interactions with regulators and Internal Audit during compliance-related examinations / audits related to coverage area

Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point

Coordinates and collaborates with affiliates to address cross border issues, reporting requests and special projects

Seeks operational efficiencies and automation of processes to reduce risk of manual processes

Assists in providing training to covered business units

Contributes to various reporting requirements and other ad hoc reviews

Works closely with other supporting units to help create and maintain best practice across the Firm

Qualification

Regulatory compliance experienceUS securities laws knowledgeProject management skillsCommunication skillsManage assignmentsTraining skillsConsensus buildingTechnical translationBA/BS degreeSeries 7 certificationSeries 79 certificationAttention to detailOrganizational skills

Required

4-7 years of regulatory and/or advisory compliance experience at a broker dealer

A solid foundation in US securities laws and regulations and broker dealer operations, products and services

Ability to communicate this knowledge and applicability to SMBC Nikko Securities Inc. and affiliate operations

Ability to manage multiple assignments and build consensus among stakeholders

Ability to translate technical subject matter and convey it in easily understandable components for the clients

Attention to detail and discipline to follow up on issues until resolved

Must be well organized with project management skills

BA/BS required

Preferred

Series 7, 79 a plus

Benefits

Annual discretionary incentive award

Competitive portfolio of benefits

Company

SMBC Group

Glassdoor3.5

SMBC Group is a top-tier global financial group.

Founded in 1590

New York, New York, USA

10001+ employees

https://www.smbcgroup.com/americas

H1B Sponsorship

SMBC Group has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (160)

2024 (87)

2023 (73)

2022 (44)

2021 (29)

2020 (26)