Compliance Surveillance Specialist

Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since 1876, we put our customers first and provide seamless access to, from and within the Asia Pacific region.   SMBC is one of the largest Japanese banks by assets and maintain strong credit ratings across our global integrated network.  We work closely as one SMBC Group to offer personal, corporate and investment banking services to meet the needs of our customers.

With sustainability embedded within our strategy and operations, we are committed to creating a society in which today’s generation can enjoy economic prosperity and well-being, and pass it on to future generations.

Responsibilities:

• Perform surveillance works on the Bank’s communication channels to detect any violation of HO/Local Compliance rules.
• Perform detailed investigation including obtain clarification and supporting documents from relevant BUs on any suspicious found from surveillance works.
• Prepare clear and concise reports of surveillance findings for management, highlighting potential concerns and providing actionable recommendations.
• Engage in special projects or initiatives relate to Compliance as needed.

Qualifications:

• Minimum of 5-7 years of experience in Banking, Compliance, Audit or related field.
• Bachelor’s or Master’s degree in Banking & Finance, Accounting, Laws or related fields.
• Excellent command of English both communication and writing abilities.
• Excellent computer skills in Microsoft Office (Excel, Word, PowerPoint)
• Strong analytic skills and ability to exhibit curious and investigative approach.
• Ability to collaborate with others and establish working relationships.