Apply on Employer Site

SMBC Group · 2 days ago

Regulatory Compliance Specialist (Corporate Compliance Monitoring and Testing Associate)

Jersey City, NJ

Full-time

Hybrid

Mid, Senior Level

$80K/yr - $131K/yr

5+ years exp

SMBC Group is a top-tier global financial group headquartered in Tokyo, offering a diverse range of financial services. They are seeking a Corporate Compliance Monitoring and Testing Associate to support the monitoring and testing program, ensuring the efficacy of regulatory compliance internal controls primarily for their New York Branch.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Supporting examiner-in-charge of Compliance Monitoring and Testing engagements

Assists in the development and refinement of monitoring and testing scripts

Assists in the preparation of information requests and Announcement Memorandums

Performs assigned field work to validate the efficacy of internal controls

Prepares cohesive work papers for each engagement in accordance with department standards

Identifies underlying issues and escalation / validation thereof with stakeholders

Drafts Issue Memorandums and Reports for issuance to management

Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts

Stays abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework

Qualification

BankingCompliance ExperienceCRCM CertificationCompliance Testing BackgroundUS Regulatory FrameworkMulti-taskingMotivatedAction-orientedCommunication SkillsWritten SkillsAdaptable

Required

5-7 years of Banking and Compliance Experience

CRCM Certification (A Plus)

Has a Compliance Testing, Bank Regulatory or Internal Audit Background

Able to work Independently on projects with little oversight

Able to learn quickly and dissect complicated issues within a large and complex financial institution

Solid understanding of the US Regulatory Framework

Strong Communication and Written Skills

Able to multi-task and perform work functions efficiently and timely

Motivated and action-oriented

Adaptable and able to evolve and change with Bank Transformation

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)