Broker Dealer Regulatory Governance Advisory Compliance Officer

SMBC Global Foundation Inc

New York, NY, US
$139,000.00 - $200,000.00; bonus/equity: annual di...
On-site
Us securities laws and regulations
Sec and finra requirements
Regulatory engagements and inquiries
The SMBC Compliance Advisory Function provides compliance advice, guidance, and credible challenge to SMBC’s businesses and support functions in the Americas Division

Job Summary

  • The SMBC Compliance Advisory Function provides compliance advice, guidance, and credible challenge to SMBC’s businesses and support functions in the Americas Division.
  • The Regulatory Governance Team supports SMBC’s Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries.
  • SMBC offers a competitive portfolio of benefits to its employees, in addition to cash compensation and a potential annual discretionary incentive award.

Matching Summary

The SMBC Compliance Advisory Function provides compliance advice, guidance, and credible challenge to SMBC’s businesses and support functions in the Americas Division.

Salary

$139,000.00 - $200,000.00; Bonus/Equity: Annual discretionary incentive award; Benefits: Competitive portfolio of benefits

Skills & Requirements

Must-have

  • US securities laws and regulations
  • SEC and FINRA requirements
  • Regulatory engagements and inquiries
  • Compliance policy and procedure management
  • Risk assessment and mitigation

Nice-to-have

  • Translate technical subject matter
  • Build consensus among stakeholders
  • Seek operational efficiencies
  • Proactive engagement with colleagues

Key Requirements

  • BA/BS required
  • Regulatory compliance experience at a broker dealer
  • Series 7, 24, 79 a plus
  • JD Preferred

Work Rights

Not specified

Tailored Resume

Cover Letter