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SMBC Group · 6 days ago

Regulatory Officer, Associate (Exam Management)

Los Angeles, CA

Full-time

Hybrid

Entry Level

$82K/yr - $140K/yr

3+ years exp

SMBC Group is a top-tier global financial group offering a diverse range of financial services. The Regulatory Officer, Associate will support regulatory examination and advisory services, manage regulatory interactions, and ensure compliance with supervisory and prudential regulators.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Participating in all phases of the regulatory examination lifecycle such as responding to entry letters and information request; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting

Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators

Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations

Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties

Tracking the status of regulatory inquiries, exams, reviews and findings and circulates information in periodic status reports

Maintaining regulatory communications, transmittal letters, management responses, and remediation actions

Escalating potential issues observed during or outside the exams and reviews to ensure proper resolution

Working closely with all Regulatory Relations team members and assisting with other Regulatory Relations functions as needed

Qualification

Financial services experienceRegulatory knowledgeProject management skillsAnalytical skillsCommunication skillsAttention to detailTime managementIndependent work

Required

College degree or equivalent required

At least 3 years of financial services experience at a regulator, bank or law firm

Strong project management skills supporting examinations and regulatory projects for the financial services industry

General understanding of financial markets and financial services regulatory requirements

Attention to detail with ability to complete work accurately and in a timely manner against strict deadlines

Proficient in organizing and tracking progress on multiple tasks and projects with strong follow through and time management skills

Ability to work independently under moderate supervision

Excellent analytical, verbal and written communication skills

Preferred

Graduate, law or business degree recommended

Prior experience with financial services regulator or FBO and/or a background in finance, accounting or risk management is strongly preferred

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

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Trends of Total Sponsorships

2025 (160)

2024 (87)

2023 (73)

2022 (44)

2021 (29)

2020 (26)