Apply on Employer Site

SMBC Group · 2 days ago

Corporate Compliance Monitoring & Testing Analyst

Jersey City, NJ

Full-time

Hybrid

Entry Level

$72K/yr - $87K/yr

1+ 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 Compliance Monitoring & Testing Analyst to support the monitoring and testing program, primarily focusing on the New York Branch, ensuring compliance and validating internal controls.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Supports monitoring and testing activities for New York Branch

Serves as a tester for all facets of compliance monitoring and testing engagements

Assists in the development and refinement of monitoring and testing scripts

Prepares information requests and announcement memoranda

Performs assigned field work to validate the efficacy of internal controls and risk mitigants

Assists in the compiling of comprehensive and cohesive work papers in accordance with department standards and methodology

Helps to identify underlying issues and escalation/validation thereof with clients

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

Assists in the consolidation and reporting of results within local and Head Office reporting

Qualification

Financial services knowledgeCompliance monitoringAnalytical skillsFRB regulations knowledgeAdvanced ExcelCultural sensitivityInterpersonal skillsWritten communicationVerbal communicationOrganizational skills

Required

Bachelor's Degree required

Excellent academic record

1-3 years of working experience or 1-2 years of internship experience in the financial services field and knowledge of FRB regulations, a plus

Strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner

Demonstrates sound judgement, political astuteness, and sensitivity to cultural diversity

Solid interpersonal and written and verbal communications skills to successfully interface with all levels of management and maintain solid working relationships

Maintaining a compliance risk mindset to understand underlying regulatory risks and an ability to identify control weaknesses to properly mitigate such risks

Strong analytical skills, highly organized, detail oriented, self-driven, and motivated

Advanced Word, Excel, and PowerPoint skills and the ability to quickly learn new software applications

Benefits

Competitive portfolio of benefits

Annual discretionary incentive award

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)