SMBC Group is a top-tier global financial group headquartered in Tokyo, offering a diverse range of financial services. They are seeking a Compliance Monitoring & Testing Analyst to support the monitoring and testing program, primarily focusing on the New York Branch, ensuring compliance and validating internal controls.
Responsibilities
- Supports monitoring and testing activities for New York Branch
- Serves as a tester for all facets of compliance monitoring and testing engagements
- Assists in the development and refinement of monitoring and testing scripts
- Prepares information requests and announcement memoranda
- Performs assigned field work to validate the efficacy of internal controls and risk mitigants
- Assists in the compiling of comprehensive and cohesive work papers in accordance with department standards and methodology
- Helps to identify underlying issues and escalation/validation thereof with clients
- Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts
- Assists in the consolidation and reporting of results within local and Head Office reporting
Skills
- Bachelor's Degree required
- Excellent academic record
- 1-3 years of working experience or 1-2 years of internship experience in the financial services field and knowledge of FRB regulations, a plus
- Strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner
- Demonstrates sound judgement, political astuteness, and sensitivity to cultural diversity
- Solid interpersonal and written and verbal communications skills to successfully interface with all levels of management and maintain solid working relationships
- Maintaining a compliance risk mindset to understand underlying regulatory risks and an ability to identify control weaknesses to properly mitigate such risks
- Strong analytical skills, highly organized, detail oriented, self-driven, and motivated
- Advanced Word, Excel, and PowerPoint skills and the ability to quickly learn new software applications
Benefits
- Competitive portfolio of benefits
- Annual discretionary incentive award
Company Overview
SMBC Group is a top-tier global financial group. It was founded in 1590, and is headquartered in New York, New York, USA, with a workforce of 10001+ employees. Its website is https://www.smbcgroup.com/americas.Company H1B Sponsorship
SMBC Group has a track record of offering H1B sponsorships, with 160 in 2025, 87 in 2024, 73 in 2023, 44 in 2022, 29 in 2021, 26 in 2020. Please note that this does not guarantee sponsorship for this specific role.
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