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SMBC Group · 5 hours ago

Head of Compliance Risk Assessment

Jersey City, NJ

Full-time

Hybrid

Director/Executive

$248K/yr - $285K/yr

15+ years exp

SMBC Group is a top-tier global financial group offering a diverse range of financial services. The Executive Director will lead the firm-wide Compliance Risk Assessment program, ensuring robust design, execution, and continuous enhancement of the CRA framework and methodology while managing stakeholder engagement and data analysis.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Design, implement, and continuously enhance the CRA framework and methodology

Lead the execution of the annual and ad-hoc compliance risk assessments across business units and legal entities

Collaborate with Compliance, Risk, Audit, and Business stakeholders to ensure alignment and integration of risk assessment outcomes

Develop and deliver executive-level reporting and insights to inform risk-based decision-making

Monitor regulatory developments and industry trends to ensure the CRA program remains current and effective

Manage a team of risk professionals, fostering a culture of excellence, accountability, and continuous improvement

Drive automation and data analytics initiatives to enhance the efficiency and effectiveness of the CRA process

Qualification

Compliance risk managementRisk assessment frameworkFinancial services knowledgeData analytics platformsRegulatory complianceProject managementMicrosoft Office SuiteGRC systemsCertified Regulatory Compliance ManagerCPAInterpersonal skillsCommunication skills

Required

Deep understanding of compliance risk management principles, frameworks, and regulatory expectations (either U.S. banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA, NFA)

Proven experience in designing and executing enterprise-wide risk assessments with focus on designing Compliance Risk Assessment framework and methodology along with delivering annual compliance risk assessments for the firm

Strong knowledge of financial services industry, including products, services, and associated compliance risks

Familiarity with governance structures, control environments, and risk mitigation strategies

Experience with risk assessment tools, data analytics platforms, and reporting technologies

Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses, ability to act as a subject matter expert on Bank, Broker- Dealer regulations are a strong plus

Strong interpersonal and communications skills (written and verbal) to successfully interface with all levels of management and maintain solid working relationships in a collaborative group environment

Experience managing projects, creating project plans, tracking statuses, and reporting issues to management

Ability to analyze results and identify trends / forecasting using resultant data and other available metrics (e.g., KPI, KRIs, etc.) while promoting measures to mitigate regulatory compliance risk

15 + years of specialized experience in Financial Services

Minimum 8-10 years of compliance experience (e.g., Risk Assessment, Developing Compliance Framework, Compliance Advisory, Bank regulator)

BA / BS in a relevant discipline (e.g., Accounting, Finance, Banking, Statistics, Mathematics, or other related field), or equivalent experience

Certified Regulatory Compliance Manager-CRCM)

CPA-Certified Public Accountant

Experience with Microsoft Office Suite, SharePoint

Experience on implementing GRC systems, awareness of toolset like Alteryx and AI applications

Preferred

10+ years of management experience preferred

Preferred: MA / MS / MBA

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)

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2025 (160)

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2020 (26)