Senior Analyst/AVP, Surveillance & Control Room (Compliance Department)

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.

Job Responsibilities

Conduct Surveillance 

• Conduct Level 2 reviews of electronic communications, trade and other surveillance alerts, and cover Level 1 reviews when required.
• Assess, document, close or escalate alerts and potential misconduct in line with procedures.
• Perform quality checks, guide Level 1 reviewers and monitor alert queues, ageing and backlogs.
• Analyse trends, support investigations and thematic reviews, and prepare management reporting.
• Enhance surveillance policies, procedures, scenarios and systems, and support audits and regulatory reviews.
• Support the regional rollout of surveillance systems and enhancements to the regional surveillance framework.
• Support implementation and enhancement of surveillance tools, including vendor coordination and solution validation

Control Room 

• Process and review wall crossings, watch lists, restricted lists and related records, including maker-checker controls.
• Assess conflicts, confidential or material non-public information, and information barrier requirements arising from transactions and business activities.
• Advise stakeholders, implement restrictions promptly and escalate complex or high-risk matters.
• Conduct periodic reviews, support investigations and reporting, and help strengthen Control Room governance and controls.

Job Requirements

Qualifications

• Degree in Finance, Accounting, Business, Economics or a related discipline; relevant professional certification is an advantage.

Experience

• 3–6 years’ relevant experience in compliance, surveillance, Control Room, risk management or audit within a financial institution.
• Experience in alert review, investigations, market conduct, information barriers or conflicts management is preferred. Candidates with less experience may be considered at Senior Analyst level.

Technical Knowledge

• Good understanding of market conduct, conflicts of interest, information barriers and banking or capital markets activities.
• Familiarity with surveillance or case management systems; strong Excel, Power BI or data analysis skills are preferred.
• Strong oral and written communication skills in particular fluency in English.
• Fluency in languages other than languages would also be a value add.

Key Competencies

Attention to Detail

• Ability to review complex client structures, transactions, and documentation with a high degree of accuracy
• Strong focus on identifying inconsistencies, gaps, and potential compliance risks

Problem-Solving

• Capability to assess issues pragmatically and provide practical, risk-based solutions
• Able to balance business needs with regulatory expectations

Critical Thinking

• Strong analytical skills to interpret regulations and apply them to real-world scenarios
• Ability to challenge assumptions and escalate concerns appropriately

Communication

• Clear and effective communication skills, both written and verbal
• Ability to interact confidently with stakeholders, including relationship managers, senior management, and regulators
• Skilled in translating regulatory requirements into practical guidance for the business

Risk Assessment

• Ability to identify, assess, and monitor compliance and conduct risks
• Experience in performing risk assessments, surveillance, and thematic reviews
• Good judgment in evaluating risk appetite and escalation thresholds