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SMBC Group · 1 day ago

Broker Dealer Regulatory Governance Advisory Compliance Officer

New York, NY

Full-time

Hybrid

Mid, Senior Level

$139K/yr - $200K/yr

SMBC Group is a top-tier global financial group offering a diverse range of financial services. The Broker Dealer Regulatory Governance Advisory Compliance Officer role involves providing compliance advice and guidance, managing regulatory exams, and coordinating support functions to ensure compliance with broker-dealer regulations.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Provide compliance advice and credible challenge to businesses and support functions regarding a broad range of compliance and regulatory issues

Escalate potential conduct incidents, events, and material non-compliance matters

Assist the Regulatory Governance Team Lead in coordinating the intake and responses to regulatory inquiries and managing regulatory exams

Support the preparation and submission of various regulatory applications and filings

Support remediation efforts stemming from regulatory enforcement actions

Assist in process to determine whether to self-report material non-compliance issues to applicable regulators

Support the production of management reporting for business leadership, CPAD, Risk and other governance forums

Support the preparation of materials for governance committees and working groups within the Firm and industry

Coordinate with Compliance and support function staff across the AD to provide subject expertise and to find efficiencies

Coordinate compliance policy & procedure reviews, updates and approvals and facilitate Group Company adoption of AD Compliance Policies

Assist in design and delivery of compliance training materials

Track and support the remediation of Advisory-owned Issues and Corrective Action plans

Assist in drafting and disseminating Compliance alerts, reminders and other communications

Support production of Annual Compliance Report and related senior officer certifications

Participate in evaluation and implementation of Compliance technology

Help to identify gaps or areas that can be improved or made more efficient, triggered by:

Changes in laws, rules and regulations

Changes in AD- or SMBC-level policies

New business initiatives

Regulatory findings or recommendations

Audit findings or recommendations

M&T findings or recommendations; and/or

Observations by Compliance officer or business staff member

Coordinate with relevant stakeholders to support the implementation of enhancements to the Firm’s overall compliance program

Assess applicability, coordinate impact assessment and support implementation of changes in response to new regulations and regulatory developments through the Regulatory Change Management process

Provide regulatory advice and oversight of compliance with expertise in US securities, laws and regulations

Proactively engage with Compliance, Legal and other control function colleagues to enhance the overall Compliance program

Support the coordination and drafting of management related reports on a timely basis

Escalate regulatory concerns and other significant matters to their manager

Communicate policies, procedures and new regulatory requirements simply and efficiently to affected business and infrastructure units in order to minimize bureaucracy and process burden

Assist in the design, implementation and maintenance of Compliance policies and procedures to ensure consistency in achieving industry best practices and in minimizing regulatory risk

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

Qualification

US securities lawsRegulatory compliance experienceProject managementCommunication skillsManage assignmentsTechnical subject matter translationSeries 779 certificationsAttention to detailOrganizational skills

Required

Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements

Ability to communicate this knowledge and applicability both verbally and in writing

Ability to manage multiple assignments and build consensus among stakeholders' communication skills among other attributes

Must be well organized with prioritization and project management skills on a global scale

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

Regulatory compliance experience at a broker dealer and or swap dealer preferred

BA/BS required

JD Preferred

Series 7, 24, 79 a plus

Benefits

The role may also be eligible for an annual discretionary incentive award

SMBC offers a competitive portfolio of benefits to its employees

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)