Conduct, Risk and Culture Officer
Sumitomo Mitsui Banking Corporation (SMBC) was established in 2001 though the merger of Sakura Bank and Sumitomo Bank, the core financial institutions of the Mitsui Group and the Sumitomo Group, respectively, each with its own long history. SMBC as a core member of Sumitomo Mitsui Financial Group (SMFG), work together with other members of the Group to offer customers highly sophisticated, comprehensive financial services globally. For careers in the US please visit us at our new careers page: (smbcgroup.com/careers)
LEADERSHIP QUALIFICATIONS • Over 8 years experience in compliance management • Able to professionally support company’s compliance efforts with federal and state disclosure reporting requirements & obligations • Substantial capability of providing support services and compliance guidance • Thorough understanding of documentation implementation systems assuring comprehensiveness, maximizing efficiency & ensuring ethical and legal business conduct • Highly capable of evaluating, investigating and resolving compliance issues and concerns • Strong capabilities in KYC, KYP, AML, Corporate Governance, Social Responsability, FATCA, Anti Corruption, Ethic, Conduct and Internal Controls • Can proactively work with other teams/partners to address compliance issues during the initial stages of program developments • Able to efficiently collaborate with other functional areas modifying processes to address identified risks • Well acquainted with conducting compliance investigations with corporate counsels OTHER SKILLS • Good presentation capabilities • Strong project dexterity • Self‐directed • Action oriented & collaborative • Knowledge in funds compliance KEY ACCOMPLISHMENTS • Appreciation award for Leading & managing a team responsible for conducting periodic internal compliance and operational risks reviews determining compliance with regulations related to the CVM, ANBIMA, BACEN, BSM and BM&F Bovespa. • Made independent decisions discussing complex regulatory issues with management • Coordinated and participated in on‐site due dilligences
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